Research Of Non Securities Companies On-site Audit

The securities industry is a risk management industry, along with the rapid development of China’s financial system reform and financial risk. The securities industry is confronted with more complicated,especially the current industry entered a stage of development,business innovation and product variety increasing. As business process complexity is constantly increasing, the transaction information and management information is expanding, relying solely on site audit has been difficult to meet the audit requirements, and audit workload and intensity is also growing. Therefore, the use of information technology, the implementation of the audit system to be imperative.In this paper, based on the non site audit, IT research on theory and technology of audit, design of off field auditing a flexible framework,perfect function, high efficiency, user-friendly, simple operation analysis system. The system is based on data warehouse and data mining technology, through a comprehensive collection of data of the system, according to improve audit efficiency analysis, audit requirements for conversion, cleaning, validation, integration and the formation of audit table in the middle, the integrated use of query analysis, multi-dimensional analysis, data mining methods to construct audit analysis model, and curing to the application system, is beneficial to the audit staff to seize the important business and business innovation in the comprehensive risk management system risk, the risk analysis and assessment of the ability and the improvement proposal, support and promote the businesss pecification steady development.This essay is composed of four chapters as follows.The first chapter, introduction. It mainly describes the research background and significance of thesis, and introduces the research ideas and the basic framework.The second chapter, off-site audit theory research at home and abroad survey of non-audit system development field. The off-site audit theory and the survey of non-audit system development site analysis, and summarizes the research direction of this paper based on previous research experience. The third chapter, non system analysis on site audit securities company.INDUSTRIAL SECURITIES CO., LTD. off-site audit analysis system as an example, from the system structure,technical architecture, audit analysis model and results show how to design a flexible non on site audit, perfect function, highefficiency, user-friendly, simple operation analysis system. At the same time, the system in the audit process in the application were analyzed for off-site audit.The fourth chapter, the conclusion of the study. The results of the research are summarized, the limitations of this thesis and the innovation of research.