Risk Identification and Institutional Improvement in Corporate Compliance Management

摘要

Abstract

With the deepening of global economic integration, the regulatory environment for corporate operations has become increasingly complex, and compliance management has become an important guarantee for enterprises to achieve sustainable development. Using literature review, case analysis, and field investigation, this paper explores risk identification and institutional construction in corporate compliance management. The study finds that enterprises generally face problems such as incomplete compliance risk identification, delayed risk early warning, and insufficient interdepartmental communication and coordination. These problems are mainly reflected in inadequate understanding of risks in emerging businesses, inconsistent assessment standards, and poor transmission of risk information. In response, this paper proposes a comprehensive risk identification pathway that includes constructing a dynamic risk list, improving the compliance risk assessment indicator system, and strengthening departmental collaboration. In terms of institutional construction, it is necessary to optimize the compliance organizational structure, improve rules and regulations, and cultivate a compliance culture. Empirical tests across enterprises in multiple industries show that the proposed methods and schemes are practically feasible. The study indicates that accurate risk identification can improve the effectiveness of corporate compliance management, while a sound institutional system is an important foundation for the implementation and operation of compliance management. The findings provide a reference for enterprises to build compliance risk management systems.