【作者】 周翔；

【导师】 姜宁康；

【作者基本信息】 华东师范大学 ， 软件工程， 2010， 硕士

【摘要】 合规体系的建立、运行维护、改进是一项长期的工作。在合规内控体系运行维护和改进过程中,如果没有信息系统的支持,体系的维护和改进工作将停留在手工状态,信息化程度低,会造成工作中的诸多不便。在此背景下,为配合本行合规体系的建设。我们首先对建立合规风险管理信息系统的可行性作初步调研。从而为银行合规部门提供一个适合目前需要,并兼顾未来发展的专业体系维护、改进的管理系统。接着我们走访了兴业银行各个业务部门,合规管理人员。根据兴业银行CMM规范中需求管理关键过程域规定的编写原则,以及对需求描述的细化程度要求对需求进行描述和编写。阐明兴业银行全面合规管理系统TCM(简称合规系统)的软件需求,成为今后开发、测试、验收的依据。根据需求,我们对系统进行设计,包括系统的基本处理流程,系统的组织结构、模块划分、功能分配、接口设计、运行设计、数据结构设计和安全性设计等,为系统的开发实施奠定基础。最后我们根据之前制定的测试计划,对项目各个模块进行了完整的测试,系统上线前邀请用户进行了UAT测试。所有测试通过,问题解决后,系统成功通过验收,顺利上线。更多还原

【Abstract】 Build, maintenance and improve Bank Risk Management Control Framework is a long term work. If we still work by manual operation in the process of build, maintenance and improve Bank Risk Management Control Framework without IT system support. It will bring lots of troubles for Bank. In this background, to help the bank build their Risk Management Control Framework.First of all, we did feasibility research on build the Bank Risk Management Control system. We want to build a system can satisfied current requirement for the bank risk management department, and also consider the future development and improvement of this professional framework.Then we visited the different bank business department and risk management employee. Based on customer bank’s CMM requirement domain guild line we defined and write the requirement. We clear software requirement of the Bank Risk Management Control system. We develop, test, check and accept the system according to this requirement.According to the requirement, we design the system; it includes system basic process, system organization, module design, feature design, interface design, runtime design, data structure design and security design. It provides a solid base for the system development.Finally we tested the system according to the test plan we made before. We fully tested all the modules; we invite end user to UAT test. After all the test have been passed, and all the problem have been solved, system was accepted by the customer bank.更多还原