【作者】 李浩；

【导师】 马向阳；

【作者基本信息】 天津大学 ， 工商管理， 2021， 硕士

【摘要】 伴随着一体化风险管理理念在中央企业经营管理过程中的不断深入,利用能力成熟度模型对体系建设和运行情况开展综合能力评估也必将成为一体化风险管理体系建设整体推进过程中的重要环节。本文根据当前专家学者关于内控、合规、风险管理等一体化体系的成熟度进行评估的相关研究成果,以GDAMC公司为例,构建了一体化风险管理能力成熟度评估模型,并详细地介绍了该模型的评估过程及其应用实施全过程,研究内容及取得的成果概括如下:首先,本文参考能力成熟度模型构建了符合公司经营特点的一体化风险管理能力成熟度评估的架构。具体包括风险管理体系以及关键业务风险内控两个方面共计43个具体指标,随后采取层次分析法构建了一体化风险管理能力成熟度模型,并计算出各个指标的权重结果。其次,基于本文所得到的一体化风险管理能力成熟度评估模型,对该公司43个能力指标进行评估分析发现:管理成熟级、规范级、受控级、基础级、初始级能力指标分别为5、15、18、3、2个。其中在决策机构、信息沟通与报告机制、市场营销、考核与激励、治理结构等5个方面尚未达到合格标准,存在一定的问题。最后,基于评估分析结果,本文提出了完善企业内部决策体系、采取多元化的信息传递沟通方式、优化现有的市场营销体系、制定市场化体系的考核激励机制、优化现有的公司治理模式等优化建议。总体上看,公司能够按照监管机构及集团公司相关要求进行业务管理和风险管控,风险管理体系整体有效。但在评估测试中发现,部分业务领域仍存在一定程度的管理缺陷,仍需GDAMC公司及所属单位进一步加强风险管理和内部控制体系建设,持续提升整体风险管理水平。更多还原

【Abstract】 With the deepening of integrated risk management concept in Stated-owned corporations,using the capability maturity model to carry out comprehensive capability assessment of integrated risk management system construction and operation will become more and more important.Based on the current research results of experts and scholars on the maturity of integrated risk management process,compliance,risk management and other integrated systems,taking GDAMC company as an example,this paper constructs an integrated risk management maturity assessment model and introduces in detail the evaluation process of the model and the whole process of its application.The research contents and achievements are summarized as follows:(1)This paper constructs an integrated risk management capability maturity assessment framework according to the company’s operating characteristics with reference to the capability maturity model.It includes 43 specific indexes in terms of enterprise risk management and key business risk internal control.The weight of each index are calculated by method of AHP.(2)Based on the integrated risk management capability maturity assessment model obtained in this paper,the evaluation and analysis of 43 capability indicators of the company found that: management maturity level,specification level,controlled level,foundation level,initial level capability indicators are 5,15,18,3,2.Among them,in the decision-making organization,information communication and reporting mechanism,marketing,assessment and incentive,governance structure five aspects have not reached the standard of eligibility,there are certain defects.(3)Based on the results of evaluation and analysis,this paper puts forward some suggestions to improve the internal decision-making system of enterprises,adopt diversified information transmission and communication methods,optimize the existing marketing system,formulate the examination and incentive mechanism of the market-oriented system,and optimize the existing corporate governance model.Overall,the company can carry out business management and risk control in accordance with the relevant requirements of regulators and group companies,and the risk management system is effective as a whole.However,it is found that some business areas still have some management defects,and it is still necessary to further strengthen the construction of risk management and internal control system GDAMC the company and its affiliated units,and continuously improve the overall level of risk management.更多还原