Ping An Bank Shanghai Branch Deepens Compliance Culture with Self-Inspections and Embedded Risk Controls
Since 2026, Ping An Bank Shanghai Branch has advanced its compliance culture by conducting full-coverage self-inspections to identify and rectify risk hazards. The branch coordinates multiple departments, establishes special ledgers for issues, and focuses on high-risk areas such as anti-money laundering and consumer protection. It embeds risk controls into various service scenarios, includes compliance performance in evaluations, and plans to build a long-term rectification review mechanism to strengthen internal controls.
Since 2026, Ping An Bank Shanghai Branch has advanced its compliance culture, using self-inspection and self-correction as a starting point to identify and rectify risk hazards. The branch coordinates risk control, operations, consumer protection, and compliance departments, organizing full-coverage self-inspections across all sub-branches and business lines, reviewing past business processes against operational standards and regulatory requirements. For issues identified, the branch establishes a special ledger, specifying rectification standards, responsible positions, and completion deadlines, and focuses on high-risk areas such as anti-money laundering, anti-fraud management, consumer rights protection, credit reporting, and operational processes, conducting regular targeted in-depth inspections.
In 2026, the branch continued to conduct tiered and categorized compliance learning and education. For management, it regularly organizes compliance seminars and regulatory policy interpretation sessions; for frontline staff, it conducts case-based warning education and micro-classes on position risks. The branch also innovates in education formats, organizing compliance knowledge competitions, position compliance experience sharing sessions, online compliance quizzes, and branch compliance publicity campaigns, promoting the normalization of compliance learning.
The branch embeds risk control requirements into scenarios such as branch services, online business, inclusive finance, and age-friendly services, improving the hierarchical grid-based risk control mechanism, detailing position responsibility lists, and including compliance performance in daily evaluations.
Next, the branch will consolidate the results of this year's compliance rectification, establish a long-term mechanism for reviewing rectification issues, and regularly re-examine rectified items. At the same time, it will continue to enrich compliance education formats, optimize the full-process risk control system, and strengthen the internal control foundation through regular inspections, continuous learning, and long-term rectification.