WO2019232957A1

WO2019232957A1 - Operational risk linkage method and system, computer device, and storage medium

Info

Publication number: WO2019232957A1
Application number: PCT/CN2018/104704
Authority: WO
Inventors: 朱丽莎; 谭志荣; 魏尧东
Original assignee: 平安科技（深圳）有限公司
Priority date: 2018-06-04
Filing date: 2018-09-08
Publication date: 2019-12-12
Also published as: CN109190862A; CN109190862B

Abstract

An operational risk linkage method and system, a computer device, and a storage medium, relating to the technical field of data processing. The operational risk linkage method comprises: establishing operational risk identifiers in a plurality of risk management modules, setting at least one linkage identifier, and triggering any linkage identifier to generate a first association list. The method cross-uses a plurality of risk management modules in three major operation risk tool systems, gives full play to the advantages of the three major tools, makes up for the shortcomings of the three major tools, and improves the total application efficiency of the three major tools.

Description

Operation risk linkage method, system, computer equipment and storage medium

This application claims the priority of a Chinese patent application filed on June 4, 2018 with the Chinese Patent Office, application number 201810561286.9, and invention name "Operational Risk Linkage Method, System, Computer Equipment, and Storage Medium", the entire contents of which are incorporated by reference Incorporated in this application.

Technical field

The present application relates to the field of data processing technology, and in particular, to a method, a system, a computer device, and a storage medium for operating risk linkage.

Background technique

Operational risk refers to risks caused by imperfect or problematic internal procedures, employees and information technology systems, and external events. There are four main forms of operational risk, namely operational errors, subjective violations, internal fraud and external fraud. The three major management tools for operational risk that are very popular internationally are: Risk and Control Self-Assessment (RCSA), Operational Risk Event and Loss Data Collection (LDC), and Key Risk Indicators (KRI).

The above three management tools can identify, evaluate, monitor and control the same object from different dimensions and perspectives when dealing with operational risks, so that their respective results are consistent in a certain sense, but the three tools Each tool has its own advantages and disadvantages when dealing with operational risks. The data of some tools are affected by subjective judgments, and there are certain inaccuracies and imperfections.

Summary of the Invention

In view of this, it is necessary to provide an operational risk linkage method, system, computer equipment and storage medium for the problem of imperfect data after subjective judgment of the three tools of operational risk management and internal control.

An operational risk linkage method includes: setting a preset field as an operational risk identifier for establishing an association relationship among multiple risk management modules, the multiple risk management modules including a risk and control self-assessment RCSA module, and an operational risk event And loss data collection LDC module and key risk indicator KRI module; at least one linkage mark is set in each of the RCSA module, the LDC module and the KRI module, and after triggering any linkage mark, the corresponding linkage mark is extracted In the risk management module, all fields in the operational risk identification are set to correlation information, and the corresponding data in the other two modules are called. According to the linkage rules, the data matching the correlation information is extracted in the form of a list. A first association list is generated in the risk management module corresponding to the linkage identifier.

An operation risk linkage system includes: a preset unit configured to set a preset field as an operation risk identifier for establishing an association relationship among multiple risk management modules, and the multiple risk management modules include self-assessment of risk and control RCSA module, operational risk event and loss data collection LDC module and key risk indicator KRI module; linkage unit is set to set at least one linkage mark in the RCSA module, the LDC module and the KRI module, respectively, to trigger any After a linkage ID is extracted, all fields in the risk management module corresponding to the linkage ID are extracted, and all fields in the operational risk ID are set to associated information. The corresponding data in the other two modules are called, and the data matching the associated information is extracted according to the linkage rules. In the form of a list, a first association list is generated in the risk management module corresponding to the linkage identifier.

A computer device includes a memory and a processor. The memory stores computer-readable instructions. When the computer-readable instructions are executed by the processor, the processor causes the processor to perform the following steps: In the module, preset fields are set as operational risk identifiers for establishing an associated relationship. The multiple risk management modules include a risk and control self-assessment RCSA module, an operational risk event and loss data collection LDC module, and a key risk indicator KRI module. At least one linkage identifier is set in each of the RCSA module, the LDC module, and the KRI module. After triggering any linkage identifier, the risk management module corresponding to the linkage identifier is extracted, and all fields in the operational risk identifier are set as related information. The corresponding data in the other two modules is called, and the data matching the association information is extracted according to the linkage rules, and a first association list is generated in the risk management module corresponding to the linkage identifier in the form of a list.

A storage medium storing computer-readable instructions. When the computer-readable instructions are executed by one or more processors, the one or more processors execute the following steps: The field is set to identify the operational risk associated with the relationship. The multiple risk management modules include a risk and control self-assessment RCSA module, an operational risk event and loss data collection LDC module, and a key risk indicator KRI module. The LDC module and the KRI module respectively set at least one linkage identification, and after triggering any linkage identification, extracting all the fields in the risk management module corresponding to the linkage identification, and setting all fields in the operational risk identification to association information, The corresponding data in the other two modules are called, and the data matching the association information is extracted according to the linkage rules, and a first association list is generated in the risk management module corresponding to the linkage identifier in the form of a list.

The above-mentioned operational risk linkage method, device, computer equipment and storage medium are respectively set in a plurality of risk management modules with preset fields as operational risk identifiers for establishing an associated relationship. The multiple risk management modules include a risk and control self-assessment RCSA module, Operational risk event and loss data collection LDC module and key risk indicator KRI module; at least one linkage mark is set in the RCSA module, LDC module and KRI module respectively. After triggering any linkage mark, the risk management module corresponding to the linkage mark is extracted. All fields in the operational risk identification are set to correlation information, and the corresponding data in the other two modules are called. According to the linkage rules, the data matching the correlation information is extracted, and the list is generated in the risk management module corresponding to the linkage identification. An association list. By adopting the above technical solution, the present application cross-uses multiple risk management modules in the three operational risk tool systems, fully utilizes the advantages of the three major tools, makes up for the shortcomings of the three, and improves the total use of the three major tools. effectiveness.

BRIEF DESCRIPTION OF THE DRAWINGS

Various other advantages and benefits will become apparent to those of ordinary skill in the art upon reading the detailed description of the preferred embodiments below. The drawings are only for the purpose of illustrating preferred embodiments and are not to be considered as limiting the present application.

FIG. 1 is a flowchart of an operation risk linkage method according to an embodiment of the present application;

FIG. 2 is a schematic diagram of a business process interface of the RCSA module of this application;

FIG. 3 is a schematic diagram of a risk identification interface of the RCSA module of this application;

4 is a schematic diagram of an operation risk event interface of the LDC module of this application;

FIG. 5 is a schematic interface diagram of a KRI module of the present application;

6 is a schematic diagram of a test interface of the present application;

FIG. 7 is a structural diagram of a linkage verification system in an embodiment of the present application.

Detailed ways

In order to make the purpose, technical solution, and advantages of the present application clearer, 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 only used to explain the application, and are not used to limit the application.

Those skilled in the art will understand that, unless specifically stated otherwise, the singular forms "a", "an", "the" and "the" may include plural forms. It should be further understood that the word "comprising" used in the specification of the present application refers to the presence of the described features, integers, steps, operations, elements and / or components, but does not exclude the presence or addition of one or more other features, Integers, steps, operations, elements, components, and / or groups thereof.

FIG. 1 is a flowchart of an operation risk linkage method according to an embodiment of the present application. As shown in FIG. 1, the method includes the following steps: Step S1: Establishing a unified operation risk identifier: The preset fields are set in multiple risk management modules as Established the relationship of operational risk identification, multiple risk management modules include risk and control self-assessment RCSA module, operational risk event and loss data collection LDC module and key risk indicator KRI module. This step is used to establish a unified operational risk identification. The operational risk identification includes a main process identification, a sub-process identification, a risk point identification, a control activity identification, a risk incentive identification, and an event type identification. In specific implementation, the main process ID and sub-process ID are mandatory fields, and at least one of the risk point identification, control activity identification, risk incentive identification, or event type identification is optional. In the RCSA module, LDC module, and KRI Once a preset field is established in the module and set as the operational risk identifier, all preset fields are required. Before the preset fields in the RCSA module, LDC module, and KRI module, set "*" as a reminder of required fields.

Step S2: Establish a linkage mechanism: Set at least one linkage identifier in the RCSA module, LDC module, and KRI module. After triggering any linkage identifier, extract all the fields in the risk management module corresponding to the linkage identifier and operate the settings. For the association information, the corresponding data in the other two modules are called, and the data matching the association information is extracted according to the association rules, and the first association list is generated in the risk management module corresponding to the association identifier in the form of a list. The above linkage rules are: when the RCSA module is called, the following fields are set to match the data: serial number, risk code, risk name, main business process, sub-business process, risk incentive, event type, probability, severity, risk rating Or at least one of the fields of overall control effectiveness. When the LDC module is called, the following fields are set to match the data: sequence number, event code, event name, event department, attribution month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive At least one of the fields of impact severity, risk incentive, event type, whether rectification is required or the situation. When the KRI module is called, the following fields are set to match the data: sequence number, indicator code, indicator name, indicator level, monitoring frequency, main business process, sub-business process, risk incentive, event type, early warning status of the indicator within one year, or Correct at least one field in the situation. When the view of the associated risk field is triggered, the extraction test identifier is set to the associated information, and the corresponding data in the RCSA module is called. The linkage rule is to extract the data set as the following fields to match: serial number, risk code, risk name, main business process, sub-business At least one of the fields of process, risk incentive, event type, probability, severity, risk rating, or overall control effectiveness. When the view of the associated LDC event field is triggered, the extraction test identifier is set as the correlation information, and the corresponding data in the LDC module is called. The linkage rule is to extract the data set as the following fields to match: sequence number, event code, event name, event department, attribution At least one of the fields of month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive impact severity, risk incentive, event type, whether rectification or rectification is required. When the view of the associated KRI indicator field is triggered, the extraction test identifier is set to the associated information, and the corresponding data in the KRI module is called. The linkage rule is to extract the data set as the following fields to match: serial number, indicator code, indicator name, indicator level, monitoring frequency Field, at least one of the main business process, sub-business process, risk incentive, event type, indicator warning or rectification within one year.

In one embodiment, when the preset field is set as the operation risk identifier for establishing the association relationship in step S1, the following method is adopted: As shown in FIG. 2, in the business process interface of the RCSA module, the main business process field is set to The main process ID is set as the sub process ID with the business process name field. As shown in Figure 3, in the risk identification interface of the RCSA module, the main business process field is set as the main process ID, the business process field is set as the sub process ID, and the risk name field is set as the risk point ID to control the activity field. It is set as the control activity identifier, the risk inducement directory is set, the risk inducement directory field is set as the risk inducement identifier, the event type directory is set, and the event type directory field is set as the event type identifier. As shown in Figure 4, in the operation risk event interface of the LDC module, the main business process field is set as the main process identifier, and a new business subprocess directory field is added. All options in the business subprocess directory field are in the RCSA business process. For all business process fields, the event type directory field is set as the event type identifier, and the risk factor directory field is set as the risk factor identifier. After selecting the business main process field, the options under the business sub-process catalog field automatically generate all sub-processes under the main process. As shown in Figure 5, in the KRI module, the main business process field is set as the main process ID, and the sub business process field is set as the sub process ID, and the associated risk point field, associated control activity field, and risk inducement directory are added. At least one of a field or an event type directory field, wherein an associated risk point field is set as a risk point identifier, an associated control activity field is set as a control activity identifier, a risk inducement directory field is set as a risk inducement identifier, and an event is The type directory field is set to the event type identifier.

The above risk inducement directory field can set two sub-drop-down menus of risk inducement (first-level directory) and risk inducement (second-level directory). When the user makes a selection on the risk inducement (first-level directory), the system automatically generates according to the risk inducement table. Risk inducement (secondary category) menu option. If the user directly selects the risk incentives (secondary directory), all the second-level directories under the risk incentives (first-level directory) will be displayed. After the user completes the selection of the risk incentives (secondary directory), the risk incentives (first-level directory) will be displayed. )Automatic generated.

The event type directory can set three sub-drop-down menus of event type (first-level directory), event type (second-level directory), and event type (third-level directory). The same as the risk factor directory field, when the previous level menu is made After selection, the system automatically generates all the options of the lower-level menu of the category according to the event type table. If you do not select the previous-level menu and directly select the lower-level menu, it is the lower-level menu option corresponding to all the options of the upper-level menu. Selection, the upper menu will be generated automatically.

In one embodiment, in the business process interface, a status field can also be added to indicate whether the status is in use or disabled, and the status field is set to identify the current use status of the business process. On this page, a query condition field is added to be used. Or Disabled Set as option to query all business processes. The main process can be disabled when all the sub-processes under the main process are disabled; when the main process is enabled, all the sub-processes under the main process can be enabled.

In one embodiment, when setting the linkage identifier in step S2, as shown in FIG. 2, in the business process interface of the RCSA module, adding a KRI indicator field to set the linkage indicator, and after triggering the KRI indicator field, calling corresponding data, The indicator list pops up to complete the linkage mechanism with the KRI module. When there is no corresponding indicator, the corresponding KRI indicator field displays a prompt word. Among them, the word "prompt" is highlighted in red, and the indicator list is shown in Table 1 below:

Table 1

As shown in Figure 2, the main business process field is set to another linkage identifier. After triggering any of the main business process fields, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage mechanism with the risk points in the RCSA module. . Specifically, after triggering the “Main Business Process: Annuity Account Management Process” field, the corresponding list of risk points pops up. The list of risk points is shown in Table 2 below:

Table 2

As shown in Figure 4, in the operation risk event interface of the LDC module, the associated risk point field is set as the linkage ID. After the associated risk point field is triggered, the corresponding data in the RCSA module is called to pop up the list of risk points and complete the connection with For the linkage mechanism of the RCSA module, the list of risk points here is the same as shown in Table 2.

As shown in Figure 5, in the KRI module, an additional RCSA association information field is set as the linkage identifier. After the RCSA association information field is triggered, the corresponding data in the RCSA module is called to pop up a list of risk points and complete the linkage mechanism with the RCSA module. The list of risk points is shown in Table 2 above.

In one embodiment, in step S2, the operational risk identifier may use the preset fields shown in Table 3:

table 3

In one embodiment, the additional business process field is set as the test identifier, and the view associated risk field, the view associated LDC event field, and the view associated KRI indicator field are respectively set as linkage identifiers. After triggering any linkage identifier, the extraction test identifier is set to Relevant information, call the corresponding data in the RCSA module, LDC module or KRI module, and extract the data that matches the associated information according to the linkage rules, and generate a second association list in the form of a list. The business process field of this embodiment may be a test interface after a linkage mechanism is established between the RCSA module, the LDC module, and the KRI module. In the test interface, an additional business process field is set as the test identifier. After triggering any linkage expression, a second association list is generated in the test interface. The second association list in this embodiment uses the same linkage rules as the first association list in step S2, but because the extracted association information is different between the two, the first association list is set by all fields in the extracted operation risk identifier It is obtained for the association information, and the second association list is obtained by setting the extracted test identifier as the association information, so the two exist independently of each other. In this way, users can get the required association list according to different fields in different situations.

In one embodiment, as shown in FIG. 6, in the test interface, the content of the added business process field should be the same as the content of the sub-process field in the RCSA module. When the test is performed on the test interface, it includes: After correlating the linkage identification of the risk field, extract the test identification and set it as the correlation information, call the corresponding data in the RCSA module, and extract the data that matches the correlation information according to the linkage rules, and display the above-mentioned correlation Table 2 in the test interface in the form of a list. . After triggering to view the associated LDC event field, the test ID is extracted and set to the relevant information. The corresponding data in the LDC module is called. According to the linkage rules, the data matching the relevant information is extracted. The associated list is displayed on the test interface in the form of a list, where The association list is the statistical information of LDC events, as shown in Table 4 below:

Table 4

The above table 4 is displayed on the test interface. At the same time, the matching data corresponding to all associated LDC events within one year are extracted and pushed forward at the time of the test day, and the average calculation script is inserted. The average calculation script is used to calculate the The mean value of the comprehensive impact severity field in the matching data. When the mean value is greater than the preset value, a prompt is displayed after viewing the associated LDC event field. Among them, the prompt word is preferably in red font, “there may be a higher risk”, reminding the evaluator to refer to historical data information. The preset value is preferably greater than or equal to 3, that is, the average value of the comprehensive impact severity is above level 3. After viewing the associated LDC event field, a red “probably higher risk” prompt is displayed.

After triggering to view the linkage identifier of the associated KRI indicator field, the test identifier is extracted and set to the correlation information. The corresponding data in the KRI module is called. According to the linkage rules, the data matching the correlation information is extracted. In the form of a list, the test interface displays the same as the above. Table 1 shows the same association list. While displaying the same correlation list as in Table 1 above on the test interface, it also extracts the matching data corresponding to all related KRI indicators for a period of one year and pushes forward on the test day, inserts a calculation sum script, and uses the calculation sum The script counts the number of warnings that light up in the matching data in this one year. When the number is greater than the preset number, the prompt will be displayed after viewing the associated KRI indicator field. Among them, the prompt word is preferably in red font, "there may be a higher risk", to remind assessors to refer to historical data information. The warning conditions of the indicators in Table 1 within one year can be divided into four situations: red light, yellow light, green light, and unreported. The calculation and summation script preferably calculates the number of warnings that light up red or yellow. The preset number of times is 2 red lights or 3 yellow lights, that is, the total number of red lights in the warning situation within a year exceeds 2 times or the yellow light exceeds 3. When it is more than two times, after the associated KRI indicator field is viewed, a red "probable risk" prompt is displayed in red.

In one embodiment, an operation risk linkage system is proposed, as shown in FIG. 7, including: a preset unit configured to set preset fields as operation risk identifiers for establishing an association relationship among multiple risk management modules. The multiple risk management modules include risk and control self-assessment RCSA module, operational risk event and loss data collection LDC module and key risk indicator KRI module. The linkage unit is set to set at least one linkage mark in the RCSA module, the LDC module and the KRI module, and after triggering any linkage mark in any module, extract all of the operational risk marks in the risk management module corresponding to the linkage mark. The field is set to association information, corresponding data in the other two modules are called, and data matching the association information is extracted according to the linkage rule, and a first association list is generated in the risk management module corresponding to the linkage identifier in the form of a list.

In one embodiment, the preset unit is further configured to add a status field in the business process interface of the RCSA module to be used or disabled, and the status field is set to identify the use status of the current business process. Add a query on this page Condition field to query all business processes with active or disabled set as option.

In one embodiment, the linkage rules in the linkage unit and the test unit are: when the RCSA module is called, the following fields are set to match the data: sequence number, risk code, risk name, main business process, sub-business process, risk incentive , Event type, likelihood, severity, risk rating, or overall control effectiveness. When the LDC module is called, the following fields are set to match the data: sequence number, event code, event name, event department, attribution month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive At least one of the fields of impact severity, risk inducement, event type, whether rectification is needed or the situation. When the KRI module is called, the following fields are set to match the data: sequence number, indicator code, indicator name, indicator level, monitoring frequency, main business process, sub-business process, risk incentive, event type, early warning status of the indicator within one year, or Correct at least one field in the situation.

In one embodiment, when setting the linkage identifier, the linkage unit includes: adding a KRI indicator field module, which is set to the business process interface of the RCSA module, adding a KRI indicator field to set the linkage indicator, and triggering the KRI indicator field, and calling the KRI module. The corresponding data pops up the indicator list and completes the linkage mechanism with the KRI module. When there is no corresponding indicator, the corresponding KRI indicator field displays a prompt, and the main business process field is set to another linkage identifier. After triggering any main business process field , Call the corresponding data in the RCSA module, pop up the list of risk points, and complete the linkage mechanism with the risk points in the RCSA module. Add an associated risk point field module, set it to the operation risk event interface of the LDC module, set the associated risk point field to be a linkage ID, and trigger the associated risk point field, then call the corresponding data in the RCSA module to pop up the risk point List to complete the linkage mechanism with the RCSA module. Add the RCSA correlation information field module, set it in the KRI module, add the RCSA correlation information field to set the linkage ID, trigger the RCSA correlation information field, call the corresponding data in the RCSA module, pop up the list of risk points, and complete the linkage with the RCSA module mechanism.

In one embodiment, the linkage unit further includes a test module, which is set to add a business process field as a test identifier, and respectively add a view associated risk field, a view associated LDC event field, and a view associated KRI indicator field to a linkage identifier to trigger any After the linkage identification, the test identification is extracted and set as the correlation information, and the corresponding data in the RCSA module, the LDC module or the KRI module is called, and according to the linkage rule, the data matching the correlation information is extracted, and a second correlation list is generated in the form of a list.

In one embodiment, the linkage unit further includes a comprehensive impact severity calculation module, which is configured to, when triggering to view the linkage ID of the associated LDC event field, extract the time point on the day of the test and push forward the corresponding LDC events for one year. Match data, insert the calculation average script, and use the average calculation script to calculate the average value of the comprehensive impact severity field in the matching data within one year. If the average value is greater than the preset value, a prompt is displayed after viewing the associated LDC event field .

In one embodiment, the linkage unit further includes an early-warning calculation module, and the early-warning calculation module is configured to, when triggered to view the linkage identifier of the associated KRI indicator field, extract the corresponding KRI indicator corresponding to all related KRI indicators during the time point of the test day. The calculation data is inserted into the calculation sum script, and the calculation sum script is used to calculate the number of warnings for lighting in the matching data within one year. When the number is greater than the preset number, a prompt is displayed after viewing the associated KRI indicator field.

In one embodiment, a computer device is provided, which includes a memory and a processor. The memory stores computer-readable instructions, and when the computer-readable instructions are executed by the processor, the processor is caused to implement the foregoing when the computer-readable instructions are executed. The steps in the method of operating risk linkage in the embodiment.

In one embodiment, a storage medium storing computer-readable instructions is provided. When the computer-readable instructions are executed by one or more processors, the one or more processors are caused to perform the operation risk linkage in the foregoing embodiments. Steps in the method. The storage medium may be a non-volatile storage medium.

A person of ordinary skill in the art may understand that all or part of the steps in the various methods of the foregoing embodiments may be implemented by a program instructing related hardware. The program may be stored in a computer-readable storage medium. The storage medium may include: Read-only memory (ROM, Read Only Memory), random access memory (RAM, Random Access Memory), magnetic disks or optical disks, etc.

The technical features of the embodiments described above can be arbitrarily combined. In order to simplify the description, all possible combinations of the technical features in the above embodiments have not been described. However, as long as there is no contradiction in the combination of these technical features, It should be considered as the scope described in this specification.

The above-mentioned embodiments only express some exemplary embodiments of the present application, and their descriptions are more specific and detailed, but cannot be understood as a limitation on the scope of the patent of the present application. It should be noted that, for those of ordinary skill in the art, without departing from the concept of the present application, several modifications and improvements can be made, and these all belong to the protection scope of the present application. Therefore, the protection scope of this application patent shall be subject to the appended claims.

Claims

An operation risk linkage method includes:

Preset fields are set as operational risk identifiers for establishing an association relationship among multiple risk management modules. The multiple risk management modules include a risk and control self-assessment RCSA module, an operational risk event and loss data collection LDC module, and key risks. Indicator KRI module;

At least one linkage mark is set in each of the RCSA module, the LDC module, and the KRI module. After triggering any linkage mark, the risk management module corresponding to the linkage mark is extracted from the operation risk mark. All fields are set as correlation information, corresponding data in the other two modules are called, and data matching the correlation information is extracted according to the linkage rules, and a list is generated in the risk management module corresponding to the linkage identifier to generate a first Association list.
The operation risk linkage method according to claim 1, wherein a status field is added to the RCSA module's business process interface to be used or disabled, and the status field is set to identify the current business process use state, on this page Added a query condition field to query all business processes using the active or disabled setting as an option.
The operation risk linkage method according to claim 1, wherein the linkage rules include:

When the RCSA module is called, the following fields are extracted and set to match the data: serial number, risk code, risk name, main business process, sub-business process, risk incentive, event type, probability, severity, risk rating, or overall control effectiveness At least one field in

When the LDC module is called, the following fields are set to match the data: sequence number, event code, event name, event department, attribution month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive At least one of the fields of impact severity, risk inducement, event type, whether it needs to be rectified or the situation;

When the KRI module is called, the following fields are set to match the data: sequence number, indicator code, indicator name, indicator level, monitoring frequency, main business process, sub-business process, risk incentive, event type, early warning status of the indicator within one year, or Correct at least one field in the situation.
The operation risk linkage method according to claim 1, wherein when setting the linkage identifier:

In the business process interface of the RCSA module, add the KRI indicator field as the linkage indicator. After the KRI indicator field is triggered, the corresponding data in the KRI module is called to pop up the indicator list to complete the linkage mechanism with the KRI module. When there is no corresponding indicator, the corresponding The KRI indicator field displays prompt words. The main business process field is set to another linkage identifier. After triggering any main business process field, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage with the risk points in the RCSA module. mechanism;

In the operation risk event interface of the LDC module, add the associated risk point field to the linkage ID. After the associated risk point field is triggered, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage mechanism with the RCSA module;

In the KRI module, an additional RCSA association information field is set as the linkage identifier. After the RCSA association information field is triggered, the corresponding data in the RCSA module is called to pop up a list of risk points to complete the linkage mechanism with the RCSA module.
The operation risk linkage method according to claim 1, wherein the additional business process field is set as a test identifier, and the view-associated risk field, the view-associated LDC event field, and the view-associated KRI indicator field are set as linkage identifiers, respectively, to trigger any linkage After identification, the test identification is extracted and set as the correlation information, and the corresponding data in the RCSA module, the LDC module, or the KRI module is called, and according to the linkage rule, the data matching the correlation information is extracted, and the second is generated in the form of a list. Association list.
The operation risk linkage method according to claim 5, wherein, when the linkage identifier of the view associated LDC event field is triggered, matching data corresponding to all associated LDC events within one year is extracted and pushed forward at a time point on a test day. , Insert the calculation average script, and use the calculation average script to calculate the average value of the comprehensive impact severity field in the matching data within one year. For the average value greater than the preset value, a prompt is displayed after viewing the associated LDC event field.
The operation risk linkage method according to claim 5, wherein, when the linkage identifier for viewing the associated KRI indicator field is triggered, the matching data corresponding to all the associated KRI indicators within one year is extracted and pushed forward at the time point of the test day. , Insert a calculation sum script, and use the calculation sum script to calculate the number of warnings for lighting in the matching data within one year. When the number is greater than the preset number, a prompt is displayed after viewing the associated KRI indicator field.
An operation risk linkage system includes:

The preset unit is configured to set an operation risk identifier for establishing an associated relationship among a plurality of risk management modules, each of which includes a risk and control self-assessment RCSA module, an operational risk event, and loss data Collect LDC module and key risk indicator KRI module;

The linkage unit is configured to set at least one linkage mark in each of the RCSA module, the LDC module, and the KRI module, and after triggering any linkage mark, extracting from the risk management module corresponding to the linkage mark, All fields in the operational risk identification are set as correlation information, corresponding data in the other two modules are called, and data matching the correlation information is extracted according to the linkage rules, and the risk management corresponding to the linkage identification is listed in the form of a list. A first association list is generated in the module.
The operational risk linkage system according to claim 8, wherein the preset unit is further configured to add a status field in a business process interface of the RCSA module to use an inactive or disabled flag, and the status field is set to identify a current service The status of the process. Add a query condition field on this page to query all business processes in use or disabled.
The operation risk linkage system according to claim 8, wherein the linkage rules include:

When the RCSA module is called, the following fields are extracted and set to match the data: serial number, risk code, risk name, main business process, sub-business process, risk incentive, event type, probability, severity, risk rating, or overall control effectiveness At least one field in

When the LDC module is called, the following fields are set to match the data: sequence number, event code, event name, event department, attribution month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive At least one of the fields of impact severity, risk inducement, event type, whether it needs to be rectified or the situation;

When the KRI module is called, the following fields are set to match the data: sequence number, indicator code, indicator name, indicator level, monitoring frequency, main business process, sub-business process, risk incentive, event type, early warning status of the indicator within one year, or Correct at least one field in the situation.
The operation risk linkage system according to claim 8, wherein the linkage unit when setting the linkage identifier comprises:

Add the KRI indicator field module, set it to the business process interface of the RCSA module, add the KRI indicator field to set the linkage indicator, and trigger the KRI indicator field, call the corresponding data in the KRI module, pop up the indicator list, and complete the linkage mechanism with the KRI module When there is no corresponding indicator, the corresponding KRI indicator field displays a prompt word. The main business process field is set to another linkage identifier. After triggering any main business process field, the corresponding data in the RCSA module is called to pop up the list of risk points and complete. Linkage mechanism with risk points in RCSA module;

Add an associated risk point field module and set it to the operation risk event interface of the LDC module. Set an associated risk point field to set the linkage ID. After the associated risk point field is triggered, call the corresponding data in the RCSA module to pop up the risk point. List to complete the linkage mechanism with the RCSA module;

Add the RCSA correlation information field module, set it in the KRI module, add the RCSA correlation information field to set the linkage ID, trigger the RCSA correlation information field, call the corresponding data in the RCSA module, pop up the list of risk points, and complete the linkage with the RCSA module mechanism.
The operation risk linkage system according to claim 8, wherein the linkage unit further comprises a test module, wherein the test module is configured to add a business process field to a test identifier, and respectively add a view associated risk field and a view associated LDC event field Check that the associated KRI indicator field is set to the linkage ID. After triggering any linkage ID, extract the test ID and set it to the correlation information, call the corresponding data in the RCSA module, the LDC module, or the KRI module, and extract according to the linkage rules. Data matching the association information is used to generate a second association list in the form of a list.
The operation risk linkage system according to claim 12, wherein the linkage unit further comprises a comprehensive impact severity calculation module, and the comprehensive impact severity calculation module is configured to trigger the linkage identification of the associated LDC event field when the view is triggered. Extract the matching data corresponding to all the associated LDC events within 1 year from the time of the test day, insert the calculation average script, and use the average calculation script to calculate the average value of the comprehensive impact severity field in the matching data within this year. When the average value is greater than the preset value, a prompt is displayed after viewing the associated LDC event field.
The operational risk linkage system according to claim 12, wherein the linkage unit further comprises an early warning calculation module, the early warning calculation module is configured to extract the time of the test day when the linkage identifier of the viewing associated KRI indicator field is triggered Push forward the matching data corresponding to all related KRI indicators within one year, insert the calculation sum script, and use the calculation sum script to calculate the number of warnings for lighting in the matching data within one year. When the number is greater than the preset number , The prompt will be displayed after viewing the associated KRI indicator fields.
A computer device includes a memory and a processor. The memory stores computer-readable instructions. When the computer-readable instructions are executed by the processor, the processor causes the processor to perform the following steps:

Preset fields are set as operational risk identifiers for establishing an association relationship among multiple risk management modules. The multiple risk management modules include a risk and control self-assessment RCSA module, an operational risk event and loss data collection LDC module, and key risks. Indicator KRI module;

At least one linkage mark is set in each of the RCSA module, the LDC module, and the KRI module. After triggering any linkage mark, the risk management module corresponding to the linkage mark is extracted from the operation risk mark. All fields are set as correlation information, corresponding data in the other two modules are called, and data matching the correlation information is extracted according to the linkage rules, and a list is generated in the risk management module corresponding to the linkage identifier to generate a first Association list.
The computer device according to claim 15, wherein the linkage rules include:

When the RCSA module is called, the following fields are extracted and set to match the data: serial number, risk code, risk name, main business process, sub-business process, risk incentive, event type, probability, severity, risk rating, or overall control effectiveness At least one field in

When the LDC module is called, the following fields are set to match the data: sequence number, event code, event name, event department, attribution month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive At least one of the fields of impact severity, risk inducement, event type, whether it needs to be rectified or the situation;

When the KRI module is called, the following fields are set to match the data: sequence number, indicator code, indicator name, indicator level, monitoring frequency, main business process, sub-business process, risk incentive, event type, early warning status of the indicator within one year, or Correct at least one field in the situation.
The computer device according to claim 15, wherein when setting the linkage flag, the processor is caused to perform the following steps:

In the business process interface of the RCSA module, add the KRI indicator field as the linkage indicator. After the KRI indicator field is triggered, the corresponding data in the KRI module is called to pop up the indicator list to complete the linkage mechanism with the KRI module. When there is no corresponding indicator, the corresponding The KRI indicator field displays prompt words. The main business process field is set to another linkage identifier. After triggering any main business process field, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage with the risk points in the RCSA module. mechanism;

In the operation risk event interface of the LDC module, add the associated risk point field to the linkage ID. After the associated risk point field is triggered, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage mechanism with the RCSA module;

In the KRI module, an additional RCSA association information field is set as the linkage identifier. After the RCSA association information field is triggered, the corresponding data in the RCSA module is called to pop up a list of risk points to complete the linkage mechanism with the RCSA module.
A storage medium storing computer-readable instructions. When the computer-readable instructions are executed by one or more processors, the one or more processors execute the following steps:

Preset fields are set as operational risk identifiers for establishing an association relationship among multiple risk management modules. The multiple risk management modules include a risk and control self-assessment RCSA module, an operational risk event and loss data collection LDC module, and key risks. Indicator KRI module;

At least one linkage mark is set in each of the RCSA module, the LDC module, and the KRI module. After triggering any linkage mark, the risk management module corresponding to the linkage mark is extracted from the operation risk mark. All fields are set as correlation information, corresponding data in the other two modules are called, and data matching the correlation information is extracted according to the linkage rules, and a list is generated in the risk management module corresponding to the linkage identifier to generate a first Association list.
The storage medium according to claim 18, wherein the linkage rule comprises:

When the RCSA module is called, the following fields are extracted and set to match the data: serial number, risk code, risk name, main business process, sub-business process, risk incentive, event type, probability, severity, risk rating, or overall control effectiveness At least one field in

When the LDC module is called, the following fields are set to match the data: sequence number, event code, event name, event department, attribution month, whether major event, actual loss amount, financial impact severity, non-financial impact severity, comprehensive At least one of the fields of impact severity, risk inducement, event type, whether it needs to be rectified or the situation;

When the KRI module is called, the following fields are set to match the data: sequence number, indicator code, indicator name, indicator level, monitoring frequency, main business process, sub-business process, risk incentive, event type, early warning status of the indicator within one year, or Correct at least one field in the situation.
The storage medium according to claim 18, wherein when the linkage flag is set, one or more processors are caused to perform the following steps:

In the business process interface of the RCSA module, the KRI indicator field is added as the linkage indicator. After the KRI indicator field is triggered, the corresponding data in the KRI module is called to pop up the indicator list to complete the linkage mechanism with the KRI module. When there is no corresponding indicator, the corresponding The KRI indicator field displays prompt words. The main business process field is set to another linkage identifier. After triggering any main business process field, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage with the risk points in the RCSA module. mechanism;

In the operation risk event interface of the LDC module, add the associated risk point field to the linkage ID. After the associated risk point field is triggered, the corresponding data in the RCSA module is called to pop up the list of risk points to complete the linkage mechanism with the RCSA module;

In the KRI module, an additional RCSA association information field is set as the linkage identifier. After the RCSA association information field is triggered, the corresponding data in the RCSA module is called to pop up a list of risk points to complete the linkage mechanism with the RCSA module.