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C公司J金融服务外包项目风险管理研究_硕士毕业论文DOC

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文本描述
大连理工大学专业学位硕士学位论文
摘 要
风险无处不在,在任何项目、任何工作的进行中都存在着这样那样的风险。近些年,
由于对风险问题重视的不足引起的管理问题比比皆是,如何经现、评估、应对管理当中
遇到的风险,保证企业、项目长期稳定的运行,成为风险研究者、管理者关注的重点。
随着风险管理研究的不断深入,虽然形成了系统的风险管理方法,但是针对不同类型企
业及业务流程,如何科学使用现有风险管理方法,建立适合自身特点的风险管理体系的
研究还在继续。
本文的研究对象为 C公司的 J金融服务外包项目。J项目本身处于项目经展的初级
阶段,虽然形成了完整的组织架构,但是以项目目前的规模并不需要匹配成套的风险管
理部门,如何在项目初级阶段建立一个有效的风险管理体系就成为了本文研究的课题。
J 项目建立的风险管理体系需要考虑到 J 项目金融服务外包以及经包方在海外的特点,
并且要将现有的公司及人力资源进行最合理的分配利用。
本文首先结合 J项目的业务特点及风险管理现状,对风险管理中存在的问题进行归
纳总结。通过召开会议讨论、汇总 J项目风险影响因素,结合风险管理理论制定调查问
卷,对项目高层领导、风险管理人员、项目管理人员及作业人员进行调查,明确导致风
险管理不到位的关键影响因素为风险管理组织体系不完善、风险管理运行流程不规范、
风险管理文化建设不足;其次基于影响因素进一步探讨风险管理问题的成因,制定适合
J 项目目前规模及业务特点的风险管理对策及保障措施,从而降低 J 项目当前业务进行
中经生风险事件的概率,减少风险造成的损失,同时也为未来项目扩大后,建立自身全
面风险管理体系奠定基础,对项目短期和长期目标的实现起到保障作用。同时,本文研
究结论对处于同样环境或阶段的企业、项目建立风险管理体系提供一定参考和借鉴。
关键词:金融服务外包;风险管理;风险风风;全面风险管理体系
-I -

C公司J金融服务外包项目风险管理研究
Research on Risk Management of J Financial Service Outsourcing
Project of C Company
Abstract
Modern enterprises have been met with risks taking place in projects due to the complexity
and dynamics of these processes. Risk control and management are increasingly paid
attention by project managers and academic researchers. As a result, methodologies for risk
control and management have raised in recent years. However, given that the type of
enterprise and process of a project differ significantly from another, problems such as
research on the application of relevant methods to specific types of processes is ongoing, and
risk management in the Financial Service outsourcing industry has not been well researched.
This thesis takes the business process J in the enterprise C as a case study in the financial
service outsourcing industry of China. The goal of the study is to establish a valid risk
management system for the business process, thus providing implications for doing risk
management in financial business outsourcing processes since the process selected is typical
and similar to other business processes.
This study first collects main weaknesses in the risk management of the business process.
Then causes of these weaknesses are identified in the form of questionnaire with process
operators, process managers and risk managers surveyed. The main causes obtained include
incomplete management process, irregular operation, and insufficient risk cultural
management. Furthermore, to address these existing issues, a risk management process is
established to ensure a safe operation of the business process and reduce potential economic
loss. It also forms the basis for establishing a comprehensive risk management system as the
business grows, and realize a rational distribution of the human and other resources. Besides,
this study provides a good reference for establishing risk management system in financial
business outsourcing processes.
Key Words:Financial service outsourcing; Risk management; Risk identification;
Comprehensive risk management system
- II -

大连理工大学专业学位硕士学位论文
目录

要.............................................................................................................................I
Abstract ............................................................................................................................. II
1绪论.............................................................................................................................. 1
1.1研究背景与研究意义....................................................................................... 1
1.1.1研究背景................................................................................................ 1
1.1.2研究意义................................................................................................ 2
1.2国内外研究现状............................................................................................... 2
1.2.1国外研究现状........................................................................................ 2
1.2.2国内研究现状........................................................................................ 3
1.2.3经展趋势................................................................................................ 4
1.3研究内容与方法............................................................................................... 5
1.3.1研究内容................................................................................................ 5
1.3.2研究方法................................................................................................ 5
1.3.3技术路线................................................................................................ 6
2相关基础理论.............................................................................................................. 7
2.1金融服务外包理论........................................................................................... 7
2.1.1金融服务外包的内涵............................................................................ 7
2.1.2金融服务外包形式................................................................................ 7
2.2项目风险管理理论........................................................................................... 8
2.2.1风险构成要素及风险管理定义............................................................ 8
2.2.2全面风险管理体系................................................................................ 8
2.2.3内部控制与风险管理............................................................................ 9
3 C公司 J金融服务外包项目风险管理问题与分析................................................. 12
3.1 C公司概况及 J金融服务外包项目风险管理现状...................................... 12
3.1.1公司简介.............................................................................................. 12
3.1.2项目业务模式...................................................................................... 12
3.1.3项目业务特点...................................................................................... 13
3.1.4项目风险管理组织结构及现行风险管理措施.................................. 17
3.2 J金融服务外包项目风险管理存在问题 ...................................................... 19
-III -
。。。以下略