(A) State-owned enterprises lack a sound compliance risk management and control system

With the promotion of the "Belt and Road Initiative" in China, state-owned enterprises not only need to enhance their competitive advantages at home, but also need to compete fiercely with their foreign counterparts. Therefore, it is particularly important to strengthen the internal audit supervision and control of state-owned enterprises and enhance the awareness of avoiding legal risks within enterprises. However, at present, the internal control system of compliance risk in state-owned enterprises is not perfect, and the traditional management concept has been deeply rooted in enterprise management, which leads to a series of problems in state-owned enterprises, such as unclear job responsibilities, low comprehensive ability of employees and weak awareness of risk prevention.

(B) State-owned enterprises lack a clear understanding of the responsibilities of the compliance risk control department.

At present, most managers of state-owned enterprises lack understanding and cognition of compliance risk control, which seriously restricts the internal compliance risk control of enterprises. On the one hand, the internal mechanisms and measures related to compliance risk management and control are too formal to run through the whole process of internal management. On the other hand, in the process of compliance risk management and control within the enterprise, the degree of cooperation between departments is not high.

(3) State-owned enterprises are not clear about the post-holding ability of compliance risk control employees.

In recent years, although state-owned enterprises are constantly updating resources and facilities and expanding the scale of compliance risk management and control personnel, the ability and quality of compliance risk management and control personnel are uneven, and the phenomenon of shirking responsibility occurs from time to time, which seriously affects the construction of internal staff. In addition, in the process of evaluating the ability of compliance risk management and control personnel, the evaluation criteria are not rigorous enough to judge whether employees have the corresponding ability.

(D) State-owned enterprises lack a relatively perfect evaluation system and accountability mechanism.

In state-owned enterprises, relevant managers fail to pay enough attention to compliance risk management and control, and there are often perfunctory behaviors in the establishment of evaluation system, which makes the evaluation of compliance risk management and control unfair and opaque. Even though some enterprises have more scientific evaluation methods, in actual operation, there are many departments in the enterprise, and the division of labor is not clear enough, which easily leads to the situation that the departments shirk their responsibilities, which leads to the binding force of the relevant responsibility mechanism of the enterprise being greatly reduced, and the responsibilities of various departments of the enterprise are different, which makes it difficult for the accountability mechanism of the enterprise to correct the wrong behavior of employees.

Second, the improvement strategy of compliance risk management and control of state-owned enterprises

At present, there are many hidden dangers in the legal compliance management of state-owned enterprises in China. Once these potential problems are exposed, it will seriously affect the development of enterprises. Based on this situation, China must carry out a comprehensive reform of state-owned enterprises, constantly guide enterprises to achieve legal compliance in production and operation management, accelerate the process of high-quality development of enterprises through strategic changes in the whole process, and provide impetus for the overall market development. The specific work can be carried out from the following six aspects.

(A) the scientific establishment of state-owned enterprises compliance risk management mechanism

According to the relevant policies of the State Council State-owned Assets Supervision and Administration Commission, combined with the actual situation and future development goals of state-owned enterprises, China has promulgated systematic laws and regulations, and made a detailed breakdown of the audit and supervision contents of financial-related activities and management of enterprises. At the same time, we should also optimize the internal management process of state-owned enterprises, establish and improve the compliance risk prevention system, establish post responsibility system, and clarify the responsibilities of posts and departments in order to establish a scientific and reasonable compliance risk management mechanism of state-owned enterprises.

(B) Enhance the rationality of the establishment of the compliance risk control department

State-owned enterprises should establish a compliance risk control department scientifically and reasonably according to the current organizational form of enterprises and relevant laws and regulations, so as to provide a strong guarantee for employees to perform corresponding functions. At the same time, state-owned enterprises should expand the responsibilities of managers, increase the content of compliance risk management and control, and comprehensively enhance the awareness of compliance risk management and control of employees. In addition, state-owned enterprises should adjust relevant departments, fully understand and deeply explore various potential compliance risks in the process of production, operation and management, communicate with risk control departments, and jointly formulate corresponding countermeasures to ensure that compliance risk control departments work in strict accordance with rules and regulations.

(3) Improve the qualification certification system for compliance risk control personnel.

State-owned enterprises have rich ways to cultivate compliance risk management and control talents. On the one hand, we can comprehensively analyze and integrate the resources within the enterprise and the public, and increase the training of employees' compliance risk management by continuously strengthening human and financial support. On the other hand, we can establish and improve the relevant talent training mechanism to continuously provide talents for enterprises. In addition, all state-owned enterprises should give full play to the role of experts in the industry, build a qualification certification system for compliance risk management personnel, integrate theoretical knowledge, practical ability and working experience of compliance risk management, issue qualification certificates to those who meet the above requirements, and then conduct qualification screening to select outstanding personnel in all aspects to build a high-quality professional compliance risk management team. In addition, the relevant departments of our government should comprehensively improve and perfect the legal adviser system of state-owned enterprises, introduce legal advisers through multiple channels, strengthen the identification and control of compliance risks of state-owned enterprises, and promote the development of compliance risk certification for employees of state-owned enterprises.

(4) Improve the effectiveness of compliance risk management and assessment, and establish a supervision mechanism.

(5) Conduct regular compliance risk education and clarify the responsibilities of compliance risk control.

State-owned enterprises should pay more attention to the compliance education of employees. Both enterprise leaders and grass-roots employees must fully grasp the basic knowledge of compliance risk management and control. State-owned enterprises should carry out regular training in their daily work, constantly improve relevant management systems and ensure the implementation of compliance risk education. For key functional departments and professionals, it is necessary to enhance the awareness of "managing people by system and doing things by standards", thus greatly improving the level of compliance risk management and control of state-owned enterprises.

From the perspective of enterprise internal management process, state-owned enterprises should combine the new content of compliance risk control with the new goal of enterprise development, constantly optimize the compliance risk prevention and control system, create a targeted and distinctive organizational structure and business process, and fully implement the whole process of risk control, including pre-prevention, in-process control and post-treatment. As far as the responsibility content of compliance risk management and control is concerned, state-owned enterprises can improve the internal management content, increase the responsibility management measures and regular maintenance of the handling party, subdivide the responsibility of compliance risk management and control into departments, posts and employees, and finally achieve the goal of improving the sense of responsibility of employees.

(VI) Strengthening the legal construction of compliance management.

In recent years, the relevant departments of our country have continuously strengthened the supervision of compliance management of state-owned enterprises. With the introduction of intellectual property policy and anti-commercial bribery policy, the compliance management reform of state-owned enterprises in China has been deepened, the compliance risk threshold has been strictly controlled, and the business operations of major enterprises have been standardized, greatly reducing the occurrence of corporate violations. At the same time, strengthen the legal construction of compliance management, provide some legal support for some poorly managed enterprises, improve the business market environment in China, promote the long-term development of society based on laws and regulations, create an honest and trustworthy social atmosphere, and at the same time convey the contractual spirit and orderly laws of enterprises to the society to improve the business ethics level of the social market.

Third, the conclusion

As far as the management of state-owned enterprises is concerned, legal compliance management plays an important role in it, and its importance is self-evident. It can not only make enterprises avoid risks to the maximum extent, solve all kinds of unexpected problems in the development process, but also promote the development of enterprises and continuously meet the needs of enterprise management. At the same time, in the management of some enterprises in China at this stage, the awareness of compliance management according to law has become an element of corporate culture, which embodies the necessity and advanced degree of compliance management according to law, is an inevitable requirement of enterprise development management, guides the development direction of state-owned enterprises in China, has a long-term impact on the top-level design and strategic development of enterprises, and can comprehensively improve the management quality and efficiency of enterprises in the process of economic development. Based on this management model, state-owned enterprises can make rapid and steady progress in the development process and gain a favorable position in the market competition, which can not only accelerate the process of enterprise reform, but also provide a solid foundation for enterprise development.

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