MBA教育中心知识库

Abstract

Domestic anti-money laundering supervision has become stricter, showing characteristics : the intensity of punishment has continued to increase, the securities industry has tens of millions of tickets, the amount of fines has increased compared with previous years, and there will be penalties and penalties. It can be seen that the flaws in anti-money laundering work will bring huge reputation risks and economic losses to the company. Therefore, having a professional team of anti-money laundering personnel is the premise and basis for securities companies to carry out anti-money laundering work and avoid regulatory penalties. In recent years, D securities company has a large mobility of anti-money laundering employees, which directly or indirectly leads to different degrees of regulatory accountability. In 2023, the company was successively issued by the People 's Bank of China 's " Notice of Ordering Rectification " and " Notice of Administrative Punishment Opinions, " and received the " Administrative Punishment Opinion Decision " in the same year. The company was fined 518,600 yuan and the company 's business line general manager A was fined 20,300 yuan. After the follow-up company 's full-chain accountability investigation, the analysis found that the corresponding penalty outlets had replaced anti-money laundering staff during the inspection period, and the work handover was not in place. The new post personnel had less anti-money laundering work experience and insufficient performance ability. The loss of personnel brings great compliance risks and human resource costs to the company.

Based on Maslow 's hierarchy of needs theory, expectation theory, two-factor theory, equity theory and other theoretical foundations, this thesis analyzes the low satisfaction of employees in anti-money laundering positions of D securities, analyzes its causes and results, and puts forward some suggestions on how to improve the satisfaction of employees in anti-money laundering positions of D securities. By means of literature review, questionnaire and interview, this thesis finds out the factors affecting the employee satisfaction of anti-money laundering post in D securities, and finds out and analyzes the causes of the problems.

Finally, it puts forward suggestions to improve employee satisfaction from four aspects : alleviating the work and psychological pressure of employees in anti-money laundering positions ( reasonable work content, improving the construction of information technology system, creating a good and comfortable office environment, embedding mental health content in online learning platform system, enriching employees ' amateur cultural life ), helping employees ' career development ( enriching training methods ), improving leadership ( enhancing personal charm, creating a good workplace atmosphere ), and building a reasonable salary, welfare and reward and punishment system ( assessing the fairness of promotion, the rank range adapted to the importance of work, and the