CN112926941A - Management method and device for financial auditing rules, storage medium and server - Google Patents
Management method and device for financial auditing rules, storage medium and server Download PDFInfo
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Abstract
The embodiment of the application discloses a management method and device of financial audit rules, a storage medium and a server, and belongs to the field of office automation. The method of the embodiment of the application comprises the following steps: receiving a rule creation request from a terminal device; wherein, the rule creating request carries the financial auditing rule to be created; auditing the financial auditing rule based on manual auditing and/or machine auditing; after the financial auditing rule passes the auditing, storing the financial auditing rule into an auditing base; auditing the financial auditing rules in the auditing base by the RPA robot to obtain an auditing result; sharing the updated audit base to the plurality of terminal devices for displaying; obtaining comment information aiming at financial auditing rules in the auditing base; and modifying the financial auditing rule based on the comment information. The method and the system realize closed-loop management of the financial auditing rules, and realize closed-loop management of the auditing knowledge sharing business process in the UGC mode through online creation, online declaration, online auditing, automatic warehousing, real-time sharing, online communication and optimization of the financial auditing rules and transmission to the RPA knowledge robot.
Description
Technical Field
The application relates to the field of office automation, in particular to a management method and device of financial auditing rules, a storage medium and a server.
Background
The financial audit rules comprise financial audit and financial re-audit rules, which are self-checking or auditing systems of accounting institutions for accounting work, and are used for establishing a financial audit system, so that errors in the accounting work and cheating of related personnel are prevented, and the risk prevention and control capacity of organizations is improved. The current financial auditing rules are generally established or modified by the manager of the financial auditing department, then the related personnel are authorized to release the rules to the financial management system, and then the financial auditing is carried out based on the latest financial auditing rules.
Disclosure of Invention
In order to solve the technical problems, the application provides a management method, a management device, a storage medium and a server for financial auditing rules, so as to solve the problem of poor risk prevention and control capability caused by untimely updating of the financial auditing rules and single information transmission mode in the prior art.
In a first aspect, the present application provides a management method for financial auditing rules, which is applied to a financial auditing system, where the financial auditing system includes a plurality of terminal devices;
the management method comprises the following steps:
receiving a rule creation request from a terminal device; wherein, the rule creating request carries the financial auditing rule to be created;
auditing the financial auditing rule based on manual auditing and/or machine auditing;
after the financial auditing rule passes the auditing, storing the financial auditing rule into an auditing base;
auditing the financial auditing rules in the auditing base by the RPA robot to obtain an auditing result;
sharing the updated audit base to the plurality of terminals for displaying;
obtaining comment information aiming at financial auditing rules in the auditing base;
and modifying the financial auditing rule based on the comment information.
In one possible design, the auditing the financial audit rules based on manual audit and machine audit includes:
initiating a voting request aiming at the financial auditing rule to the plurality of terminal devices;
when the number of votes of the financial auditing rule is greater than a preset number, acquiring a pre-configured comprehensive evaluation model;
and auditing the financial auditing rule based on a comprehensive evaluation model.
In one possible design, the method further includes:
receiving a rule query request from a terminal device; wherein the rule query request carries keywords;
inquiring a corresponding target financial auditing rule in the auditing base based on the keywords;
and pushing the target financial auditing rule to the terminal equipment.
In a possible design, the auditing processing, by the RPA robot, on the financial auditing rules in the auditing base to obtain an auditing result includes:
acquiring financial data corresponding to each financial auditing rule in a financial database through the RPA;
auditing the financial data based on each financial auditing rule to obtain an auditing result;
and evaluating the audit result through a risk control system to obtain a financial risk value.
In a possible design, the sharing the updated audit base to the plurality of terminal devices for displaying includes:
performing data mining on financial data corresponding to each financial auditing rule based on a machine learning algorithm to form a knowledge map;
displaying the knowledge-graph on the plurality of terminal devices.
In one possible design, the obtaining review information for the financial auditing rules in the auditing base includes:
and obtaining comment information of the user aiming at the financial audit rule in the user generated content UGC database.
In one possible design, the method further includes:
the audit cases in the document library are processed in response to a case maintenance request, a case query request or a case exchange request.
In a second aspect, the present application provides a management device for financial auditing rules, which is applied to a financial auditing system, where the financial auditing system includes a plurality of terminal devices and a management device;
wherein the management device includes: the device comprises a transceiving unit, a processing unit and a storage unit;
the receiving and sending unit is used for receiving a rule creating request from the terminal equipment; wherein, the rule creating request carries the financial auditing rule to be created;
the processing unit is used for auditing the financial auditing rule based on manual auditing and/or machine auditing;
the processing unit is further used for indicating the storage unit to store the financial auditing rule into an auditing base after the auditing of the financial auditing rule is passed;
the processing unit is also used for auditing the financial auditing rules in the auditing base through the RPA robot to obtain an auditing result;
the processing unit is also used for sharing the updated audit base to the plurality of terminal devices for displaying;
the processing unit is further used for acquiring comment information aiming at the financial auditing rules in the auditing base;
and the processing unit is also used for modifying the financial auditing rule based on the comment information.
In another aspect, the present application provides an apparatus, which can implement the method for managing the financial audit rules of the first aspect. For example, the apparatus may be a chip (such as a baseband chip, or a communication chip, etc.) or a server. The above-described method may be implemented by software, hardware, or by executing corresponding software by hardware.
In one possible implementation manner, the structure of the apparatus includes a processor, a memory; the processor is configured to support the device to execute corresponding functions in the management method of the financial auditing rules. The memory is used for coupling with the processor, which holds the necessary programs (instructions) and/or data for the device. Optionally, the apparatus may further include a communication interface for supporting communication between the apparatus and other network elements.
In another possible implementation manner, the apparatus may include unit modules for performing corresponding actions in the above-described method.
In yet another possible implementation, the wireless communication device includes a processor and a transceiver, the processor is coupled to the transceiver, and the processor is configured to execute a computer program or instructions to control the transceiver to receive and transmit information; the processor is further configured to implement the above-described method when the processor executes the computer program or instructions. The transceiver may be a transceiver, a transceiver circuit, or an input/output interface. When the device is a chip, the transceiver is a transceiver circuit or an input/output interface.
When the device is a chip, the sending unit may be an output unit, such as an output circuit or a communication interface; the receiving unit may be an input unit, such as an input circuit or a communication interface. When the device is a network device, the sending unit may be a transmitter or a transmitter; the receiving unit may be a receiver or a receiver.
Yet another aspect of the present application provides an apparatus, comprising: a memory and a processor; wherein the memory stores a set of program codes, and the processor is configured to call the program codes stored in the memory and execute the method of the aspects.
Yet another aspect of the present application provides a computer-readable storage medium having stored therein instructions, which when executed on a computer, cause the computer to perform the method of the above-described aspects.
Yet another aspect of the present application provides a computer program product containing instructions which, when run on a computer, cause the computer to perform the method of the above-described aspects.
According to the embodiment, the financial auditing rules in the auditing base are maintained by adopting the mode maintenance of the production content of the user, the financial auditing personnel at all levels can participate in the formulation and modification of the financial auditing rules, the problems of untimely update and poor risk prevention and control capability caused by the formulation and modification of the financial auditing rules by managers are avoided, the closed-loop management of the financial auditing rules is realized through the real-time sharing and interactive exchange of the financial auditing rules, and the risk prevention and control capability and the working efficiency of the financial auditing work are improved.
Drawings
In order to more clearly illustrate the embodiments of the present application or the technical solutions in the prior art, the drawings used in the description of the embodiments or the prior art will be briefly described below, it is obvious that the drawings in the following description are only some embodiments of the present application, and for those skilled in the art, other drawings can be obtained according to the drawings without creative efforts.
FIG. 1 is a network architecture diagram of a financial auditing system according to an embodiment of the present application;
FIG. 2 is a flowchart illustrating a method for managing financial audit rules according to an embodiment of the present disclosure;
FIG. 3 is another flowchart illustrating a method for managing financial audit rules according to an embodiment of the present application;
fig. 4 is a schematic structural diagram of a management device according to an embodiment of the present application;
fig. 5 is another schematic structural diagram of a management device provided in the present application.
Detailed Description
In order to make the objects, technical solutions and advantages of the present application more apparent, the present application is described in further detail below with reference to the accompanying drawings and embodiments. It should be understood that the specific embodiments described herein are merely illustrative of the present application and are not intended to limit the present application. Meanwhile, in the description of the present application, the terms "first", "second", and the like are used only for distinguishing the description, and are not to be construed as indicating or implying relative importance. It will be apparent to one skilled in the art that the present application may be practiced in other embodiments that depart from these specific details. In other instances, detailed descriptions of well-known systems, devices, circuits, and methods are omitted so as not to obscure the description of the present application with unnecessary detail.
FIG. 1 illustrates a network architecture diagram of a financial auditing system 100 that may be applied to the present application.
As shown in FIG. 1, the financial auditing system 100 may include a terminal device 101, a terminal device 102, a terminal device 103, a network 104, and a server 105. The network 104 is used to provide a medium for communication links between the terminal devices 101-103. The network 104 may include various types of wired or wireless communication links, such as: the wired communication link includes an optical fiber, a twisted pair wire, or a coaxial cable, and the WIreless communication link includes a bluetooth communication link, a WIreless-FIdelity (Wi-Fi) communication link, or a microwave communication link, etc.
The financial auditor can use the terminal devices 101-103 to interact with the server 105 over the network 104 to receive messages from the server 105 or to send messages to the server 105. Various communication client applications can be installed on the terminal devices 101 to 103, for example: video recording application, video playing application, voice interaction application, search application, instant messaging tool, mailbox client, social platform software, etc.
The terminal devices 101 to 103 may be hardware or software. When the terminal devices 101 to 103 are hardware, they may be various electronic devices with a display screen, including but not limited to smart phones, tablet computers, laptop portable computers, desktop computers, and the like. When the terminal devices 101 to 103 are software, they may be installed in the electronic devices listed above. Which may be implemented as multiple software or software modules (e.g., to provide distributed services) or as a single software or software module, and is not particularly limited herein.
When the terminal devices 101 to 103 are hardware, a display device may be further installed thereon, and the display may be various devices capable of implementing a display function, for example: a Cathode ray tube display (CR), a Light-emitting diode display (LED), an electronic ink panel, a Liquid Crystal Display (LCD), a Plasma Display Panel (PDP), and the like. A user can check information such as displayed characters, pictures and videos by using display equipment on the terminal equipment 101-103.
It should be noted that, the management method of the financial audit rule provided in the embodiments of the present application is generally executed by a server, and accordingly, the management device of the financial audit rule is generally disposed in the server.
The server 105 may be hardware or software. When the server 105 is hardware, it may be implemented as a distributed server cluster composed of a plurality of servers, or may be implemented as a single server. When the server 105 is software, it may be implemented as a plurality of software or software modules (for example, for providing distributed services), or may be implemented as a single software or software module, and is not limited in particular herein.
The financial auditing system has the following functions:
1. the auditing rule (financial auditing rule) is used for performing online creation, online declaration, online auditing, automatic warehousing, real-time sharing, online communication and optimization, and transmitting to the RPA knowledge robot, so that closed-loop management of the auditing knowledge sharing business process in a UGC mode is realized. The audit rule knowledge management mainly comprises knowledge representation, knowledge classification, knowledge acquisition, knowledge access, knowledge warehousing, knowledge sharing communication, statistical analysis and the like. The method comprises modules of rule reporting, rule auditing, audit rule base, audit policy, audit system, communication and the like.
2. The audit case mainly comprises functions of audit case maintenance, audit case query, audit case exchange and the like. Through case learning, experience is accumulated, and professional knowledge is rapidly mastered.
3. The reward question-answer comprises functions of reward publishing, online question-answer, question-answer acquisition, question-answer searching and the like. Encourages people to answer questions actively and improves the efficiency and quality of question answering.
4. And the knowledge map is formed by mining, analyzing, modeling and displaying data related to financial audit through technologies such as data mining, artificial intelligence and the like, and reveals internal relations and dynamic development rules of the data. Machine learning is carried out on the auditing system through the knowledge map, and full automation of 'design, verification and application' of financial auditing rules is realized. Finally, real-time linkage of problems, risks, systems and rules is realized, the root of the problems is seen through, and the problem treatment level is improved.
5. The knowledge middle station, the system adopts a 'big middle station small foreground' mode, completes the convergence of knowledge through the cross-application, cross-field and cross-form knowledge collection, and provides a full-field, unified and intelligent knowledge service center for the user through intelligent search and intelligent recommendation; providing service capabilities of knowledge storage, knowledge system, knowledge collection, knowledge browsing, knowledge searching, knowledge recommendation and the like; the method is used as the bottom-layer capability support of foreground scene applications such as a financial audit rule base, a document base, a policy base and the like, and the rapid reuse of the foreground capability is realized.
It should be understood that the number of terminal devices, networks, and servers in fig. 1 is merely illustrative. Any number of terminal devices, networks, and servers may be used, as desired for implementation.
In order to explain the technical solution described in the present application, the following description will be given by way of specific examples.
Referring to fig. 2, fig. 2 is a schematic flowchart of a management method for financial audit rules provided in an embodiment of the present application, where the method includes:
s201, receiving a rule creating request from the terminal equipment.
The rule creating request is used for requesting to create a new financial auditing rule, the financial auditing rule represents a rule for performing financial auditing and reexamination on an organization, the rule creating request can be an HTTP request message, a management device (hereinafter referred to as a management device) of the financial auditing rule receives a rule creating request from any one terminal device in a plurality of terminal devices, and the rule creating request carries the financial auditing rule to be created. For example: the rule creating request comprises an HTTP message header and an HTTP message body, and the financial auditing rule to be created is located in the HTTP message body.
S202, auditing the financial auditing rule based on manual auditing and/or machine auditing.
Wherein, manual auditing refers to auditing the financial auditing rule in a manual mode, and machine auditing refers to auditing the financial auditing rule automatically by a machine, for example: and auditing the financial auditing rule by adopting a regular expression or machine learning mode, and auditing whether the format, range and other related information of the financial auditing rule are correct or not.
The auditing method comprises the following steps: the financial audit rule is released and displayed, the management device sets approval buttons and disapproval buttons for the financial audit rule, financial staff can approve and disapproke the financial audit rule through terminal equipment, then the management device sets the publishing time of the financial audit rule, when the publishing time is over, the approval number and the disapproval number of the financial audit rule are counted, the proportional value of the approval number and the disapproval number is calculated, and when the proportional value is larger than the proportional threshold value, the financial audit rule is determined to be approved. Or, the management device initiates a voting process aiming at the financial audit rule, displays a voting interface on each terminal in the plurality of terminal devices, the financial staff can perform voting operation on the financial audit rule based on the voting interface, counts the number of votes of the financial audit rule, and determines that the financial audit rule is approved when the number of votes is greater than a preset number. Or the management device sends the financial audit rule to the terminal device corresponding to the administrator in the plurality of terminal devices for approval, the terminal device of the administrator displays an approval interface, the administrator performs approval operation based on the approval interface when the number of the terminal devices of the administrator is multiple, and the administrator determines that the financial audit rule is approved after the approval of all the administrators is passed. In addition, financial staff can comment on the financial auditing rule to be created through the terminal equipment and display comment information on each terminal equipment.
S203, after the financial audit rule passes the audit, the financial audit rule is stored in the audit base.
After the management device determines that the financial audit rule passes the audit, the management device stores the financial audit rule in an audit database, the audit database is used for storing the financial audit rule, and the management device can perform related operations on the audit database by using sql statements. In addition, financial staff can comment on each financial auditing rule in the auditing base through terminal equipment, and managers can evaluate the reasonability of the financial auditing rules based on the comment information.
S204, auditing the financial auditing rules in the auditing base through the RPA robot to obtain an auditing result.
The Robot Process Automation (RPA) system is an application program, and realizes the automation of the manual operation process of a user by simulating the manual operation mode of the user on a computer. The method comprises the steps of obtaining financial data, auditing the financial data by using a financial auditing rule according to an RPA robot to obtain an auditing result, wherein the financial data comprises a plurality of auditing items, and the auditing result indicates whether each auditing item is in compliance.
S205, sharing the updated audit base to a plurality of terminal devices for displaying.
And pushing each financial auditing rule in the updated auditing base to the terminal equipment for displaying so that the financial auditing rules stored in the terminal equipment and the financial auditing rules stored in the management device are kept synchronous.
S206, obtaining comment information aiming at the financial auditing rules in the auditing base.
The financial audit rules in the audit base may be generated by various levels of organizations, such as: provincial, urban and regional financial organizations. Financial staff can comment on each financial audit rule through terminal equipment, and the management device obtains the comment information of the financial audit rule, and the comment information can be positive comment information or negative comment information, and the comment information includes but is not limited to: number of praise, number of comment messages and objections, etc.
And S207, modifying the financial auditing rule based on the comment information.
The management device counts the number of the positive comment information and the negative comment information of the financial audit rule, evaluates the defects and advantages of the financial audit rule based on the content of the comment information, and modifies the financial audit rule based on the negative comment information so as to realize closed-loop management of the financial audit rule.
In one possible embodiment, the method further comprises:
receiving a rule query request from a terminal device; the rule query request carries a keyword, and the terminal equipment is any one of a plurality of terminal equipment;
inquiring a corresponding target financial auditing rule in the auditing base based on the keywords;
and pushing the target financial auditing rule to the terminal equipment.
The terminal device is any one of the plurality of terminal devices, and the terminal device can inquire a required target financial auditing rule in the auditing base based on the keywords, display the inquired target financial auditing rule, and perform operations such as approval, disapproval, comment and the like on the target financial auditing rule.
Furthermore, the management device is also provided with a document library, the document library can be a non-relational database, the document library stores the audit cases, and financial staff can initiate a case maintenance request, a case query request and a case exchange request to the management device through the terminal device so as to modify, delete, query and comment the audit cases in the document library, so that the sharing and perfection of the audit cases are realized, and the financial staff can rapidly account and audit knowledge.
By implementing the embodiment of the application, the financial auditing rules in the auditing base are maintained by adopting the mode maintenance of the user production content, the financial auditing staff of each level can participate in the formulation and modification of the financial auditing rules, the problems of untimely update and poor risk prevention and control capability caused by the formulation and modification of the financial auditing rules by managers are avoided, the closed-loop management of the financial auditing rules is realized through the real-time sharing and interactive exchange of the financial auditing rules, and the risk prevention and control capability and the working efficiency of the financial auditing work are improved.
Referring to fig. 3, another flow chart of a management method for financial audit rules provided in the embodiment of the present application is shown, in the embodiment of the present application, the method includes:
s301, receiving a rule creating request from the terminal equipment.
The rule creating request is used for requesting to create a new financial auditing rule, the financial auditing rule represents a rule for performing financial auditing and reexamination on an organization, the rule creating request can be an HTTP request message, a management device (hereinafter referred to as a management device) of the financial auditing rule receives a rule creating request from any one terminal device in a plurality of terminal devices, and the rule creating request carries the financial auditing rule to be created. For example: the rule creating request comprises an HTTP message header and an HTTP message body, and the financial auditing rule to be created is located in the HTTP message body.
S302, a voting request aiming at the financial auditing rule is sent to a plurality of terminal devices.
S303, when the number of votes of the financial auditing rule is larger than a preset number, acquiring a pre-configured comprehensive evaluation model.
And S304, auditing the financial auditing rule based on the comprehensive evaluation model.
The management device initiates a voting process aiming at the financial audit rule, a voting interface is displayed on each terminal in the plurality of terminal devices, financial staff can perform voting operation on the financial audit rule based on the voting interface, the management device counts the voting number of the financial audit rule, when the voting number is larger than a preset number, a pre-configured comprehensive evaluation model is obtained, the comprehensive evaluation model is a pre-trained machine learning model, a vector generated by the financial audit rule is input into the comprehensive evaluation model to obtain an audit result, and the audit result is passed or not passed.
S305, after the financial auditing rule passes the auditing, storing the financial auditing rule into an auditing base.
After the management device determines that the financial audit rule passes the audit, the management device stores the financial audit rule in an audit database, the audit database is used for storing the financial audit rule, and the management device can perform related operations on the audit database by using sql statements. In addition, financial staff can comment on each financial auditing rule in the auditing base through terminal equipment, and managers can evaluate the reasonability of the financial auditing rules based on the comment information.
S306, acquiring financial data corresponding to each financial auditing rule in a financial database through the RPA.
The Robot Process Automation (RPA) system is an application program, and realizes the automation of the manual operation process of a user by simulating the manual operation mode of the user on a computer. The RPA is applied to the financial field, can automatically complete the data grabbing work among a plurality of financial systems, and carries out rule verification on the grabbed financial data, and the grabbed financial data can log in an electronic tax bureau to fill in a statement after the rules are verified correctly.
S307, auditing the financial data based on each financial auditing rule to obtain an auditing result.
The management device utilizes the financial auditing rule to carry out compliance check on the collected financial data to obtain an auditing result.
And S308, evaluating the audit result through a risk control system to obtain a financial risk value.
In S309, the audit result indicating whether each audit item is compliant is obtained, for example: the method comprises the steps that an audit result comprises all audit items, the compliance of the audit items is represented by 1, the non-compliance of the audit items is represented by 0, the audit result is represented by a vector, then a machine learning model trained in a risk control system in advance is used for processing the audit result to obtain a financial risk value, the financial risk value can be between 0 and 1, the larger the value is, the larger the risk is, and otherwise, the smaller the risk is.
S309, sharing the updated audit base to the plurality of terminal devices for displaying.
The management device pushes each financial auditing rule in the updated auditing base to the terminal equipment for displaying so that the financial auditing rules stored in the terminal equipment and the financial auditing rules stored in the management device are kept synchronous.
S310, performing data mining on financial data corresponding to each financial auditing rule in the auditing base based on a machine learning algorithm to form a knowledge map.
And S311, displaying the knowledge graph on a plurality of terminal devices.
Wherein different financial audit rules may require the collection or acquisition of different financial data, which is related data representing financial records, such as: revenue data, expense data, shipment quantities, inventory quantities, and the like. The management device excavates, analyzes and models the financial data related to the financial auditing rule through technologies such as data excavation, artificial intelligence or machine learning to generate a knowledge graph, and displays the knowledge graph on each terminal, so that a user can know the internal relation and the dynamic development rule of the financial data through the knowledge graph. Furthermore, the management device performs machine learning on the financial auditing rule through the knowledge map, realizes the automation of design, verification and application of the financial auditing rule, does not need manual participation, and improves the efficiency of financial auditing.
S312, obtaining comment information of the user aiming at the financial audit rule in the user generated content UGC database.
The financial staff review information aiming at the financial auditing rule is stored in the UGC database and comprises positive review information and negative review information, and the management device counts and obtains the content of the review information. For example: and counting the praise quantity and the deprecate quantity of the financial auditing rules in the auditing base. The financial staff can approve, disapprove and comment on each financial auditing rule stored in the auditing base, and the management device periodically counts the disapprove quantity and the disapprove quantity of the financial auditing rules stored in the auditing base. And when the proportional value of the praise quantity and the deprecate quantity of the financial auditing rule is less than or equal to a proportional threshold value, obtaining the comment information of the financial auditing rule. The management device calculates proportional values of the praise quantity and the deprecate quantity of the second audit rule, the management device prestores a proportional threshold value, the proportional threshold value is larger than 1, when the proportional value is smaller than or equal to the proportional threshold value, the praise quantity of the financial audit rule is smaller than the deprecate quantity, the management device acquires comment information of the financial audit rule, and the comment information is related information for commenting the financial audit rule by a financial staff and reflects reasonable or insufficient evaluation of the financial staff on the financial audit rule.
And S313, modifying the financial auditing rule based on the comment information.
The management device counts the number of the positive comment information and the negative comment information of the financial audit rule, evaluates the defects and advantages of the financial audit rule based on the content of the comment information, and modifies the financial audit rule based on the negative comment information so as to achieve the avoidance management of the financial audit rule.
By implementing the embodiment of the application, the characteristics of the financial business field are combined, an audit rule knowledge management platform is set up, financial staff at all levels can report financial audit rule suggestions on line through terminal equipment such as mobile phones or computers, and the financial audit rule suggestions are brought into an audit library after being audited and passed for others to check, study and exchange. On the basis that the managers set unified financial auditing rules, the financial auditing rules are collected from basic financial staff, and applicable and reasonable financial auditing rules are analyzed, judged and screened out and are introduced into an auditing base, so that convenience is brought to the construction that the financial staff participate in the financial auditing rules. In the auditing process of the financial auditing rule, an auditor can analyze system requirements and common risks according to actual services, revise and supplement selected rules, so that the auditing rule and method are continuously sound and perfect, defects in work are timely found, deviation in daily service work is reduced to the minimum, misfraud and missed fraud are prevented, and the daily work quality is improved. In the actual work, the latest construction results of inspection, internal and external inspection and financial compliance are combined, the contents are added and supplemented to the audit rule system in time, and the extensibility of the audit rule is gradually enhanced.
The above-mentioned fig. 2 to fig. 3 illustrate the management method of the financial audit rule in detail. Correspondingly, the management device in the embodiment of the application is schematically shown in the structure.
Referring to fig. 4, fig. 4 is a schematic structural diagram of a management device 4 according to an embodiment of the present application, which is applied to a financial auditing system, where the financial auditing system includes a plurality of terminal devices and a management device;
wherein, the management device includes: a transceiving unit 401, a processing unit 402 and a storage unit 403.
The transceiver 401 is configured to receive a rule creation request from a terminal device; wherein, the rule creating request carries the financial auditing rule to be created;
the processing unit 402 is configured to audit the financial audit rule based on manual audit and/or machine audit;
the processing unit 402 is further configured to instruct the storage unit 403 to store the financial audit rule into an audit library after the audit of the financial audit rule is passed;
the processing unit 402 is further configured to perform audit processing on the financial audit rules in the audit base through the RPA robot to obtain an audit result;
the processing unit 402 is further configured to share the updated audit base for the plurality of terminal devices to display;
the processing unit 402 is further configured to obtain comment information for the financial auditing rules in the auditing base;
the processing unit 402 is further configured to modify the financial auditing rule based on the review information.
In one or more embodiments, the auditing the financial audit rules based on manual audit and machine audit includes:
initiating a voting request aiming at the financial auditing rule to the plurality of terminal devices;
when the number of votes of the financial auditing rule is greater than a preset number, acquiring a pre-configured comprehensive evaluation model;
and auditing the financial auditing rule based on a comprehensive evaluation model.
In one or more possible embodiments, the processing unit 402 is further configured to perform:
instruct the transceiving unit 401 to receive a rule query request from a terminal device; wherein the rule query request carries keywords;
inquiring a corresponding target financial auditing rule in the auditing base based on the keywords;
and instructing the transceiver unit 401 to push the target financial auditing rule to the terminal device.
In one or more possible embodiments, the auditing, by the RPA robot, the processing of the financial auditing rules in the auditing base to obtain an auditing result includes:
acquiring financial data corresponding to each financial auditing rule in a financial database through the RPA;
auditing the financial data based on each financial auditing rule to obtain an auditing result;
and evaluating the audit result through a risk control system to obtain a financial risk value.
In one or more possible embodiments, the sharing the updated audit base to the plurality of terminal devices for displaying includes:
performing data mining on financial data corresponding to each financial auditing rule based on a machine learning algorithm to form a knowledge map;
displaying the knowledge-graph on the plurality of terminal devices.
In one or more possible embodiments, the obtaining review information for the financial auditing rules in the auditing base includes:
and obtaining comment information of the user aiming at the financial audit rule in the user generated content UGC database.
In one or more possible embodiments, processing unit 402 is further configured to:
the audit cases in the document library are processed in response to a case maintenance request, a case query request or a case exchange request.
The management device 4 may be a server or a node, and the management device 4 may also be a field-programmable gate array (FPGA), an application-specific integrated chip (asic), a system on chip (SoC), a Central Processing Unit (CPU), a Network Processor (NP), a digital signal processing circuit, a Micro Controller Unit (MCU), or a Programmable Logic Device (PLD) or other integrated chips, which implement related functions.
Fig. 5 is a schematic structural diagram of a management device according to an embodiment of the present application, where the management device 5 may be integrated into a server, and as shown in fig. 5, the management device 5 includes: memory 502, processor 501, and transceiver 503.
The memory 502 may be a separate physical unit, which may be connected to the processor 501 and the transceiver 503 by a bus. The memory 502, the processor 501, the transceiver 503 may also be integrated, implemented in hardware, etc.
The memory 502 is used for storing a program for implementing the above method embodiment, or various modules of the apparatus embodiment, and the processor 501 calls the program to perform the operation of the above method embodiment.
Optionally, the management device 5 further includes an input device and an output device, the input device includes but is not limited to a keyboard, a mouse, a touch panel, a camera and a microphone; the output device includes, but is not limited to, a display screen.
Communication interfaces are used to send and receive various types of messages and include, but are not limited to, wireless interfaces or wired interfaces.
Alternatively, when part or all of the management method of the financial auditing rules of the above embodiments is implemented by software, the device may also include only a processor. The memory for storing the program is located outside the device and the processor is connected to the memory by means of circuits/wires for reading and executing the program stored in the memory. The processor may be a Central Processing Unit (CPU), a Network Processor (NP), or a combination of a CPU and an NP.
The processor may further include a hardware chip. The hardware chip may be an application-specific integrated circuit (ASIC), a Programmable Logic Device (PLD), or a combination thereof. The PLD may be a Complex Programmable Logic Device (CPLD), a field-programmable gate array (FPGA), a General Array Logic (GAL), or any combination thereof.
The memory may include volatile memory (volatile memory), such as random-access memory (RAM); the memory may also include a non-volatile memory (non-volatile memory), such as a flash memory (flash memory), a Hard Disk Drive (HDD) or a solid-state drive (SSD); the memory may also comprise a combination of memories of the kind described above.
The embodiment of the application further provides a computer storage medium, which stores a computer program, and the computer program is used for executing the management method of the financial audit rule provided by the embodiment.
The embodiment of the application also provides a computer program product containing instructions, which when run on a computer, causes the computer to execute the management method of the financial audit rule provided by the above embodiment.
As will be appreciated by one skilled in the art, embodiments of the present application may be provided as a method, system, or computer program product. Accordingly, the present application may take the form of an entirely hardware embodiment, an entirely software embodiment or an embodiment combining software and hardware aspects. Furthermore, the present application may take the form of a computer program product embodied on one or more computer-usable storage media (including, but not limited to, disk storage, CD-ROM, optical storage, and the like) having computer-usable program code embodied therein.
The present application is described with reference to flowchart illustrations and/or block diagrams of methods, apparatus (systems), and computer program products according to embodiments of the application. It will be understood that each flow and/or block of the flow diagrams and/or block diagrams, and combinations of flows and/or blocks in the flow diagrams and/or block diagrams, can be implemented by computer program instructions. These computer program instructions may be provided to a processor of a general purpose computer, special purpose computer, embedded processor, or other programmable data processing apparatus to produce a machine, such that the instructions, which execute via the processor of the computer or other programmable data processing apparatus, create means for implementing the functions specified in the flowchart flow or flows and/or block diagram block or blocks.
These computer program instructions may also be stored in a computer-readable memory that can direct a computer or other programmable data processing apparatus to function in a particular manner, such that the instructions stored in the computer-readable memory produce an article of manufacture including instruction means which implement the function specified in the flowchart flow or flows and/or block diagram block or blocks.
These computer program instructions may also be loaded onto a computer or other programmable data processing apparatus to cause a series of operational steps to be performed on the computer or other programmable apparatus to produce a computer implemented process such that the instructions which execute on the computer or other programmable apparatus provide steps for implementing the functions specified in the flowchart flow or flows and/or block diagram block or blocks.
Claims (10)
1. A management method of financial auditing rules is characterized by being applied to a financial auditing system, wherein the financial auditing system comprises a plurality of terminal devices;
the management method comprises the following steps:
receiving a rule creation request from a terminal device; wherein, the rule creating request carries the financial auditing rule to be created;
auditing the financial auditing rule based on manual auditing and/or machine auditing;
after the financial auditing rule passes the auditing, storing the financial auditing rule into an auditing base;
auditing the financial auditing rules in the auditing base by the RPA robot to obtain an auditing result;
sharing the updated audit base to the plurality of terminal devices for displaying;
obtaining comment information aiming at financial auditing rules in the auditing base;
and modifying the financial auditing rule based on the comment information.
2. The method of claim 1, wherein the reviewing the financial audit rules based on manual review and machine review comprises:
initiating a voting request aiming at the financial auditing rule to the plurality of terminal devices;
when the number of votes of the financial auditing rule is greater than a preset number, acquiring a pre-configured comprehensive evaluation model;
and auditing the financial auditing rule based on a comprehensive evaluation model.
3. The method of claim 1, further comprising:
receiving a rule query request from a terminal device; wherein the rule query request carries keywords;
inquiring a corresponding target financial auditing rule in the auditing base based on the keywords;
and pushing the target financial auditing rule to the terminal equipment.
4. The method as claimed in claim 1, 2 or 3, wherein the auditing process of the financial auditing rules in the auditing base by the RPA robot to obtain the auditing result comprises:
acquiring financial data corresponding to each financial auditing rule in a financial database through the RPA;
auditing the financial data based on each financial auditing rule to obtain an auditing result;
and evaluating the audit result through a risk control system to obtain a financial risk value.
5. The method as claimed in claim 1, 2 or 3, wherein the sharing the updated audit base to the plurality of terminal devices for display comprises:
performing data mining on financial data corresponding to each financial auditing rule based on a machine learning algorithm to form a knowledge map;
displaying the knowledge-graph on the plurality of terminal devices.
6. The method of claim 1, 2 or 3, wherein the obtaining review information for financial auditing rules in the auditing base comprises:
and obtaining comment information of the user aiming at the financial audit rule in the user generated content UGC database.
7. The method of claim 1, 2 or 3, further comprising:
the audit cases in the document library are processed in response to a case maintenance request, a case query request or a case exchange request.
8. The management device of the financial auditing rule is characterized by being applied to a financial auditing system, wherein the financial auditing system comprises a plurality of terminal devices and a management device;
wherein the management device includes: the device comprises a transceiving unit, a processing unit and a storage unit;
the receiving and sending unit is used for receiving a rule creating request from the terminal equipment; wherein, the rule creating request carries the financial auditing rule to be created;
the processing unit is used for auditing the financial auditing rule based on manual auditing and/or machine auditing;
the processing unit is further used for indicating the storage unit to store the financial auditing rule into an auditing base after the auditing of the financial auditing rule is passed;
the processing unit is also used for auditing the financial auditing rules in the auditing base through the RPA robot to obtain an auditing result;
the processing unit is also used for sharing the updated audit base to the plurality of terminal devices for displaying;
the processing unit is further used for acquiring comment information aiming at the financial auditing rules in the auditing base;
and the processing unit is also used for modifying the financial auditing rule based on the comment information.
9. A computer storage medium, characterized in that it stores a plurality of instructions adapted to be loaded by a processor and to carry out the method steps according to any one of claims 1 to 7.
10. A server, comprising: a processor and a memory; wherein the memory stores a computer program adapted to be loaded by the processor and to perform the method steps of any of claims 1 to 7.
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