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The Design and Implementation of Bank Audit System Based on Risk-Orientation

Author: LiZhen
Tutor: JiangLiHong；YuJianQun
School: Shanghai Jiaotong University
Course: Software Engineering
Keywords: risk-oriented audit risk assessment meta-data DAP
CLC: TP311.52
Type: Master's thesis
Year: 2008
Downloads: 316
Quote: 1
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Abstract


At present, banks have experienced a fundamental change in the business operations and management. Meanwhile, the widespread use of computer technology has brought a great change in the business operation, process management, accounting records and so on. Banks have to deal with mass of information every day and almost all the business data is stored in the computer. With the increased intensity of regulation, the demand of information disclosure is rising as well. In China, a lot of audit data in bank industries has been dealt with by manpower and audit offices have spent much time and labor on this. However, these efforts still fail to meet the regulation demand. If a complete bank audit system is set up, these problems will be effectively solved, not only the information being submitted on time but also the quality being improved so as to better meet the needs of modern complex and ever-changing financial environment.This thesis aims to work out a solution by studying risk-oriented audit and metadata model of data warehouse together with experiences both at home and abroad. The researcher integrates the study with the practice of China’s banks so as to propose a relatively complete and rational design for bank audit system to determine the overall structure and its function composition.This paper starts with the development of audit modes, especially the theory of risk-oriented audit. According to the fact that China’s modern risk-oriented audit is at the initial stage, the researcher focuses on the concept, analyzes the domestic and international actuality, and finally decides to have risk-orientation run through the entire system design. Meanwhile, the author studies risk assessment, the core of modern risk-oriented audit. After the study and summary of the commonly used methods of risk assessment and analysis of the different circumstances of the assessment, in allusion to the weakness that "Five Forces" model neglects the interaction between environmental factors and the five forces, the researcher uses the amended“Five Forces”model in the actual design of this system together with financial analysis methods to identify risks in the high-risked areas of bank audit and categorize bank risks into the market risk, operational risk and policy risk.Based on data warehouse and metadata modeling, this paper follows the concept of metadata to move on with theme modeling by categorizing bank businesses into six themes including company, retail, accounting, international, financial capital and finance. The design builds up a theme model that consists of nine domains, the parties, assets, finance, regions, agreements, events, internal organization, products and channels. The researcher comprehensively considers problems in data loading, storage, query and maintenance and, based on the rules of dimension modeling carries out logic modeling by adopting the star model with the example of loans.Finally, the paper completes the designs of the core function of bank audit system, that is, Index Management System, Custom Models, and Data Analysis and Process. This system also realizes the following functions of DAP, data analysis and process, data scene feature and process modeling feature. Through the analysis of a false loan example, the researcher accomplishes the design and customization of the false mortgage instance model so as to achieve the auditing of specific data and store the suspicious data in electronic forms as reference for auditors to focus on.

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CLC: > Industrial Technology > Automation technology,computer technology > Computing technology,computer technology > Computer software > Program design,software engineering > Software Engineering > Software Development
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