CN114219138A - Continuous audit early warning method and system - Google Patents

Continuous audit early warning method and system Download PDF

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CN114219138A
CN114219138A CN202111483908.9A CN202111483908A CN114219138A CN 114219138 A CN114219138 A CN 114219138A CN 202111483908 A CN202111483908 A CN 202111483908A CN 114219138 A CN114219138 A CN 114219138A
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early warning
audit
data
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audit early
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司全玉
李刚
王鹏虎
李少伟
马宁
于威
郭煜
孙宁
曹恒
杨晋宇
祁晓慧
朱贺
薛晓玉
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China Citic Bank Corp Ltd
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Abstract

The invention relates to a continuous audit early warning method, which is applied to an audit science and technology platform and comprises the following steps: step S1, performing self-service modeling through an audit graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result, and establishing an audit early warning model; step S2, performing continuous audit early warning parameter threshold value configuration according to the indexes determined by the audit early warning model; step S3, synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data; step S4, the data lake carries out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data; and step S5, the data lake synchronously transmits the second continuous audit early warning data to an audit science and technology platform, and early warning prompting and pushing are completed on the audit science and technology platform. The effects of supporting more than single-table billion-level flexible continuous audit early warning data operation and millisecond-level drilling quick check are achieved.

Description

Continuous audit early warning method and system
Technical Field
The invention relates to the technical field of big data, in particular to a continuous audit early warning method and a continuous audit early warning system.
Background
In the existing auditing system of a certain bank, continuous auditing and early warning are realized by developing a rule model and carrying out detail data early warning processing based on an enterprise data warehouse or an auditing system database, and providing a detail query function.
The following problems still exist in the actual operation process:
1. the traditional mpp data storage cannot meet the storage and calculation requirements of all data of the whole bank, the hardware cost is high, the linear capacity expansion capability is poor, the calculation capability cannot meet the development of all-industry services, the billion-level data query response efficiency is low, full-text fuzzy query cannot be realized, and the data storage of all-line detailed services cannot be supported.
2. The real-time inquiry of drilling down the head office-first-level branch office-second-level branch office-first-level branch office-network point-transaction detail suspicious data layer by layer can not be made in the data magnitude above the billion level, and the detailed massive business data can not be drilled down through various indexes of the organization due to the lack of drilling down of the indexes of the organization level macroscopic level.
3. The continuous audit early warning rule updating can not be synchronized to a data warehouse in time, the timeliness is poor, and the early warning adjustment rule is not flexible.
4. Due to the characteristics of a data architecture and a technical architecture, continuous audit early warning cannot be pushed to front, middle and middle departments of an enterprise to process early warning, three-defense online joint defense joint control mechanisms are lacked, and early warning information cannot be rapidly and effectively implemented and rectified.
Therefore, the application provides a continuous audit early warning method and system, and aims to solve the problems.
Disclosure of Invention
In order to overcome the defects of the prior art, the invention provides a continuous audit early warning method and a system.
In order to achieve the above purpose, the technical scheme adopted by the invention comprises the following steps:
a continuous audit early warning method is characterized by comprising the following steps:
a continuous audit early warning method is applied to an audit technology platform and is characterized by comprising the following steps:
step S1, performing self-service modeling through an audit graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result, and establishing an audit early warning model;
step S2, performing continuous audit early warning parameter threshold value configuration according to the indexes determined by the audit early warning model;
step S3, synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data;
step S4, the data lake carries out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data;
and step S5, the data lake synchronously transmits the second continuous audit early warning data to the audit science and technology platform, and the audit science and technology platform completes early warning prompting and pushing.
Further, the index preferably includes a fluctuation percentage, a fluctuation amount, and a fluctuation amount.
Further, the step S4 includes the following sub-steps:
s41, setting relevant characteristic value data for the data lake and obtaining a corresponding character string by calling a column type storage rowkey algorithm;
and step S42, the data lake acquires the character string and carries out off-line processing to acquire second continuous audit early warning data.
Further, the method further comprises the step of enabling the data lake to realize column-type storage through a column-type storage synchronization operator.
Further, the related characteristic value data preferably includes a mechanism, a date, and a currency.
Furthermore, the mechanism setting level comprises a head line, a first-level branch line, a second-level branch line, a first-level branch line and a mesh point.
Further, the audit technology platform and the data lake preferably realize data synchronous transmission through a ks3 file service.
Furthermore, the method also comprises the step that a user logs in the auditing scientific and technological platform to carry out drilling inquiry according to the mechanism level, and corresponding early warning data information is obtained.
The invention also relates to a continuous audit early warning system, which is characterized by comprising the following components:
the model establishing module is used for performing self-service modeling through the auditing graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result and establishing an auditing early warning model;
the parameter threshold configuration module is used for carrying out continuous audit early warning parameter threshold configuration according to the indexes determined by the audit early warning model;
the calculation module is used for synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data;
the off-line processing module is used for carrying out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data;
and the information pushing module is used for finishing early warning prompting and pushing on the audit science and technology platform.
The invention also relates to a computer-readable storage medium, characterized in that the storage medium has stored thereon a computer program which, when being executed by a processor, carries out the above-mentioned method.
The invention also relates to an electronic device, characterized in that it comprises a processor and a memory;
the memory is used for storing operation instructions;
the processor is used for executing the method by calling the operation instruction.
The invention has the beneficial effects that:
by adopting the continuous audit early warning method and the system, the technical threshold of model development is effectively reduced through graphical modeling and corresponding continuous audit early warning parameter threshold configuration of auditors, the cost of repeated model development is saved through interaction between systems with flexible configuration, the audit range is expanded, meanwhile, the timeliness of troubleshooting of suspicious services or problem mechanisms is improved, the effects of supporting flexible continuous audit early warning data operation with more than single hundred billion level and more than total storage 2PB and drilling quick check with millisecond level can be realized, the support is provided for sharing and work cooperation of all front, middle and background department models, and the control and compliance work in companies is effectively assisted.
Drawings
FIG. 1 is a flow chart of a continuous audit warning method according to the present invention.
FIG. 2 is a schematic diagram of a continuous audit warning system according to the present invention.
Detailed Description
For a clearer understanding of the contents of the present invention, reference will be made to the accompanying drawings and examples.
The auditing department is responsible for related work such as internal control compliance of various services in an enterprise, including all categories of individuals, official authorities, the same industry, finance, administration, information technology and the like, the data span requires more than 5 years, the single-form data magnitude exceeds 100 hundred million, the total data storage of the enterprise exceeds 2PB, and in the face of different service ranges and mass service data, the auditing needs to apply a digital means, combines with a newly-developed continuous auditing concept, reduces the content of manual on-site auditing, can improve the auditing efficiency, enlarge the coverage of the auditing to the service range, can save auditing cost at the same time, effectively forms supervision and resultant force of front, middle and background departments, and promotes compliance rectification and improvement.
The invention relates to a method for continuously auditing and early warning, which comprises the following steps of:
step S1, performing self-service modeling through an audit graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result, and establishing an audit early warning model;
specifically, an auditor carries out graphical modeling through an audit science and technology platform, the audit science and technology platform switches hive tez, presto and spark components according to the size of data volume, a data table is dragged through a system interface, a background automatically generates SQL scripts corresponding to the components, the SQL scripts are synchronously transmitted to a data lake to be executed, results are returned, and an audit early warning model is established.
Preferably, the audit technology platform and the data lake realize data synchronous transmission through a ks3 file service, so that mass data impact can be avoided.
Step S2, performing continuous audit early warning parameter threshold value configuration according to the indexes determined by the audit early warning model;
preferably, the indexes include fluctuation percentage, fluctuation amount and fluctuation quantity.
Step S3, synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data;
step S4, the data lake carries out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data;
preferably, the step S4 includes the following sub-steps:
s41, setting relevant characteristic value data for the data lake and obtaining a corresponding character string by calling a column type storage rowkey algorithm;
preferably, the related characteristic value data includes a mechanism, a date, and a currency.
Preferably, the mechanism setting level includes a head line, a first-level branch line, a second-level branch line, a first-level branch line and a mesh point.
And step S42, the data lake acquires the character string and carries out off-line processing to acquire second continuous audit early warning data.
Preferably, in this embodiment, the method further includes implementing columnar storage for the data lake through a columnar storage synchronization operator.
And step S5, the data lake synchronously transmits the second continuous audit early warning data to the audit science and technology platform, and the audit science and technology platform completes early warning prompting and pushing.
Preferably, the method further includes logging in an audit technology platform by the user to perform drilling down query according to the organization level, and acquiring corresponding early warning data information.
Preferably, in an actual application scenario, when an auditor and other business department personnel process the early warning, the continuous audit early warning may be analyzed from the headquarter-first branch-second branch-first branch-website-transaction detail and other levels through the system, and through index information of the institution dimension, for example: the problems are found through the fluctuation proportion of the reject ratio, the loan scale and the like, the business network is drilled and quickly checked layer by layer, the business network is traced from the topmost institution to the transaction detail level, the auditing or checking work is carried out through the transaction detail, the early warning information processing is finally completed, and the rectification work is promoted.
The method disclosed by the embodiment of the invention is applied to a self-research audit scientific and technological platform of a certain bank, and an auditor can initiate continuous audit early warning modeling and configuration functions and process early warning information in a whole line. The technical threshold of model development is effectively reduced by carrying out graphical modeling and corresponding continuous audit early warning parameter threshold configuration by auditors, the cost of repeated model development is saved by flexibly configured system interaction, the audit range is expanded, meanwhile, the timeliness of troubleshooting of suspicious services or problem mechanisms is improved, support is provided for sharing and working cooperation of all department models before, during and behind a whole line, and the work of control compliance in a company is effectively assisted.
In another aspect, the present invention further relates to a continuous audit warning system, which has a structure as shown in fig. 2, and includes:
the model establishing module is used for performing self-service modeling through the auditing graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result and establishing an auditing early warning model;
the parameter threshold configuration module is used for carrying out continuous audit early warning parameter threshold configuration according to the indexes determined by the audit early warning model;
the calculation module is used for synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data;
the off-line processing module is used for carrying out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data;
and the information pushing module is used for finishing early warning prompting and pushing on the audit science and technology platform.
By using this system, the above-described arithmetic processing method can be executed and a corresponding technical effect can be achieved.
Embodiments of the present invention also provide a computer-readable storage medium capable of implementing all the steps of the method in the above embodiments, the computer-readable storage medium having stored thereon a computer program which, when executed by a processor, implements all the steps of the method in the above embodiments.
Embodiments of the present invention also provide an electronic device for executing the method, as an implementation apparatus of the method, the electronic device at least has a processor and a memory, in particular, the memory stores data required for executing the method and related computer programs, such as the like, and all steps of the implementation method are executed by calling the data and programs in the memory by the processor, and corresponding technical effects are obtained.
Preferably, the electronic device may comprise a bus architecture, which may include any number of interconnected buses and bridges linking together various circuits including one or more processors and memory. The bus may also link various other circuits such as peripherals, voltage regulators, power management circuits, and the like, which are well known in the art, and therefore, will not be described any further herein. A bus interface provides an interface between the bus and the receiver and transmitter. The receiver and transmitter may be the same element, i.e., a transceiver, providing a means for communicating with various other systems over a transmission medium. The processor is responsible for managing the bus and general processing, while the memory may be used for storing data used by the processor in performing operations.
Additionally, the electronic device may further include a communication module, an input unit, an audio processor, a display, a power source, and the like. The processor (or controller, operational controls) employed may include a microprocessor or other processor device and/or logic device that receives input and controls the operation of various components of the electronic device; the memory may be one or more of a buffer, a flash memory, a hard drive, a removable medium, a volatile memory, a non-volatile memory or other suitable devices, and may store the above-mentioned related data information, and may also store a program for executing the related information, and the processor may execute the program stored in the memory to realize information storage or processing, etc.; the input unit is used for providing input to the processor, and can be a key or a touch input device; the power supply is used for supplying power to the electronic equipment; the display is used for displaying display objects such as images and characters, and may be an LCD display, for example. The communication module is a transmitter/receiver that transmits and receives signals via an antenna. The communication module (transmitter/receiver) is coupled to the processor to provide an input signal and receive an output signal, which may be the same as in the case of a conventional mobile communication terminal. Based on different communication technologies, a plurality of communication modules, such as a cellular network module, a bluetooth module, and/or a wireless local area network module, may be disposed in the same electronic device. The communication module (transmitter/receiver) is also coupled to a speaker and a microphone via an audio processor to provide audio output via the speaker and receive audio input from the microphone to implement the usual telecommunication functions. The audio processor may include any suitable buffers, decoders, amplifiers and so forth. In addition, the audio processor is also coupled to the central processor, so that recording on the local machine can be realized through the microphone, and sound stored on the local machine can be played through the loudspeaker.
As will be appreciated by one skilled in the art, embodiments of the present invention may be provided as a method, system, or computer program product. Accordingly, the present invention may take the form of an entirely hardware embodiment, an entirely software embodiment or an embodiment combining software and hardware aspects. Furthermore, the present invention 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 invention is described with reference to flowchart illustrations and/or block diagrams of methods, apparatus (systems), and computer program products according to embodiments of the invention. 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 a system 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 an instruction system 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. While preferred embodiments of the present invention have been described, additional variations and modifications in those embodiments may occur to those skilled in the art once they learn of the basic inventive concepts. Therefore, it is intended that the appended claims be interpreted as including preferred embodiments and all such alterations and modifications as fall within the scope of the invention.
The above description is only for the preferred embodiment of the present invention, but the scope of the present invention is not limited thereto, and any changes or substitutions that can be easily conceived by those skilled in the art within the technical scope of the present invention are included in the scope of the present invention. Therefore, the protection scope of the present invention shall be subject to the protection scope of the claims.

Claims (11)

1. A continuous audit early warning method is applied to an audit technology platform and is characterized by comprising the following steps:
step S1, performing self-service modeling through an audit graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result, and establishing an audit early warning model;
step S2, performing continuous audit early warning parameter threshold value configuration according to the indexes determined by the audit early warning model;
step S3, synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data;
step S4, the data lake carries out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data;
and step S5, the data lake synchronously transmits the second continuous audit early warning data to the audit science and technology platform, and the audit science and technology platform completes early warning prompting and pushing.
2. The method of claim 1, wherein the metrics include a fluctuation percentage, a fluctuation amount, and a fluctuation amount.
3. The method of claim 1, wherein the step S4 includes the sub-steps of:
s41, setting relevant characteristic value data for the data lake and obtaining a corresponding character string by calling a column type storage rowkey algorithm;
and step S42, the data lake acquires the character string and carries out off-line processing to acquire second continuous audit early warning data.
4. The method of claim 3, further comprising the data lake implementing columnar storage through a columnar storage synchronization operator.
5. The method of claim 3, wherein the related characteristic value data includes institution, date, currency.
6. The method of claim 5, wherein the organizational hierarchy includes headquarters, first degree branches, second degree branches, first degree branches, and mesh points.
7. The method of claim 1, wherein the audit technology platform and the data lake implement data synchronous transmission through a ks3 file service.
8. The method as claimed in any one of claims 1 to 7, wherein the method further comprises logging in an audit technology platform by a user to perform drilling down query according to an organization level to obtain corresponding early warning data information.
9. The utility model provides a continuous audit early warning system, is applied to audit science and technology platform, its characterized in that includes:
the model establishing module is used for performing self-service modeling through the auditing graphical self-service modeling engine, generating an SQL script, synchronously transmitting the SQL script to a data lake for execution, returning a result and establishing an auditing early warning model;
the parameter threshold configuration module is used for carrying out continuous audit early warning parameter threshold configuration according to the indexes determined by the audit early warning model;
the calculation module is used for synchronously transmitting the audit early warning model and the continuous audit early warning parameter threshold value configuration information to a data lake for calculation to obtain first continuous audit early warning data;
the off-line processing module is used for carrying out off-line processing on the first continuous audit early warning data to obtain second continuous audit early warning data;
and the information pushing module is used for finishing early warning prompting and pushing on the audit science and technology platform.
10. A computer-readable storage medium, characterized in that the storage medium has stored thereon a computer program which, when being executed by a processor, carries out the method of any one of claims 1 to 8.
11. An electronic device comprising a processor and a memory;
the memory is used for storing operation instructions;
the processor is used for executing the method of any one of claims 1 to 8 by calling the operation instruction.
CN202111483908.9A 2021-12-07 2021-12-07 Continuous audit early warning method and system Pending CN114219138A (en)

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CN202111483908.9A CN114219138A (en) 2021-12-07 2021-12-07 Continuous audit early warning method and system

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Application Number Priority Date Filing Date Title
CN202111483908.9A CN114219138A (en) 2021-12-07 2021-12-07 Continuous audit early warning method and system

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CN114219138A true CN114219138A (en) 2022-03-22

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