System system compliance benchmarking method and device

Abstract

The invention provides a system compliance benchmarking method and device, which can be used in the financial field or other technical fields. The method comprises the following steps: acquiring a target benchmarking term; obtaining each external supervision term from an external supervision requirement database; wherein the external supervision requirement database is established in advance; obtaining a benchmarking result of the target benchmarking term according to the target benchmarking term, each external supervision term and a benchmarking analysis model; wherein the benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in benchmarking samples comprises external supervision terms, corresponding compliance radar maps, enterprise internal terms, corresponding compliance radar maps and benchmarking labels. The device is used for executing the method. According to the system compliance benchmarking method and device provided by the embodiment of the invention, automatic benchmarking can be realized, and the benchmarking efficiency is improved.

Description

Technical Field

[0001] The present invention relates to the field of data processing technology, and in particular to a method and device for benchmarking compliance of an institutional system. Background Art

[0002] In order to ensure the implementation of a large number of regulatory requirements such as laws, regulations, standards and specifications issued by regulatory agencies regarding data security, it is necessary to carry out benchmarking work to clarify the compliance status of various clauses within the enterprise. One very important benchmarking dimension is the implementation of the external regulatory requirements into internal rules and regulations of the organization.

[0003] In order to obtain the benchmarking situation, it is necessary to compare and analyze each clause of the external regulatory requirements with the clauses of the organization's internal rules and regulations one by one. At present, the external regulatory requirements are mainly compared with the internal rules and regulations one by one manually, and a large amount of manpower is required for the comparison throughout the process. Due to the highly condensed external regulatory requirements and the need to expand and refine internal rules and regulations, the benchmarking work of a single regulatory requirement may require the analysis of several or even dozens of internal rules and regulations. With the continuous expansion of regulatory requirements and the expansion of the scale of various aspects of the organization, the rules and regulations system continues to grow. The comparison and analysis of each item becomes more and more complicated, requires a lot of manpower, and is inefficient. Therefore, how to propose an automated benchmarking method to improve the comparison efficiency has become an important issue that needs to be solved in this field. Summary of the invention

[0004] In response to the problems in the prior art, an embodiment of the present invention provides a method and device for institutional compliance benchmarking, which can at least partially solve the problems existing in the prior art.

[0005] In a first aspect, the present invention proposes a system compliance benchmarking method, comprising:

[0006] Obtain target benchmarking terms;

[0007] Acquire each external regulatory clause from an external regulatory requirement database; wherein the external regulatory requirement database is pre-established;

[0008] According to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model, the benchmarking results of the target benchmarking clause are obtained; wherein the benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

[0009] Furthermore, the obtaining of the benchmark analysis model based on the benchmark sample training includes:

[0010] Obtaining the benchmark sample;

[0011] The initial model is trained according to the benchmark samples to obtain the benchmark analysis model.

[0012] Furthermore, the obtaining of the benchmark sample includes:

[0013] Evaluate each compliance dimension for the external regulatory clauses and internal enterprise clauses included in each set of sample data, and obtain the scores of the external regulatory clauses and internal enterprise clauses included in each set of sample data in each compliance dimension;

[0014] According to the scores of the external regulatory clauses included in each set of sample data under each compliance dimension, a compliance radar chart corresponding to the external regulatory clauses included in each set of sample data is obtained; according to the scores of the internal enterprise clauses included in each set of sample data under each compliance dimension, a compliance radar chart corresponding to the internal enterprise clauses included in each set of sample data is obtained.

[0015] Furthermore, the initial model adopts a large language model.

[0016] Furthermore, the establishment of a database of external regulatory requirements includes:

[0017] Obtain various external regulatory requirements;

[0018] According to various external regulatory requirements and a clause splitting model, various external regulatory clauses are obtained; wherein the clause splitting model is established in advance.

[0019] Furthermore, the target benchmarking clauses include:

[0020] Obtain the internal management requirements of the enterprise to be benchmarked;

[0021] Split the internal management requirements of the enterprise to be benchmarked into multiple target benchmarking clauses.

[0022] Furthermore, the system compliance benchmarking method provided by the embodiment of the present invention also includes:

[0023] Output benchmarking result review prompt information, the benchmarking result review prompt information carries the benchmarking result of the target benchmarking clause, and the benchmarking result of the target benchmarking clause includes compliance status and a compliance radar chart.

[0024] In a second aspect, the present invention provides a system compliance benchmarking device, comprising:

[0025] A first acquisition module is used to acquire target benchmarking terms;

[0026] A second acquisition module is used to acquire each external regulatory clause from an external regulatory requirement database; wherein the external regulatory requirement database is pre-established;

[0027] A benchmarking module is used to obtain the benchmarking results of the target benchmarking clauses according to the target benchmarking clauses, the external regulatory clauses and the benchmarking analysis model; wherein the benchmarking analysis model is obtained based on the benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

[0028] In a third aspect, the present invention provides a computer device, including a memory, a processor, and a computer program stored in the memory, wherein the processor executes the program to implement the system compliance benchmarking method of any of the above embodiments.

[0029] In a fourth aspect, the present invention provides a computer-readable storage medium storing a computer program / instruction, which, when executed by a processor, implements the system compliance benchmarking method described in any of the above embodiments.

[0030] In a fifth aspect, the present invention provides a computer program product, including a computer program / instruction, which, when executed by a processor, implements the system compliance benchmarking method described in any of the above embodiments.

[0031] The system compliance benchmarking method and device provided in the embodiments of the present invention can obtain target benchmarking clauses; obtain each external regulatory clause from an external regulatory requirements database; wherein the external regulatory requirements database is pre-established; obtain the benchmarking results of the target benchmarking clauses based on the target benchmarking clauses, the each external regulatory clauses and the benchmarking analysis model, thereby realizing automatic benchmarking and improving the efficiency of benchmarking. BRIEF DESCRIPTION OF THE DRAWINGS

[0032] In order to more clearly illustrate the embodiments of the present invention or the technical solutions in the prior art, the following briefly introduces the drawings required for use in the embodiments or the prior art descriptions. Obviously, the drawings described below are only some embodiments of the present invention. For ordinary technicians in this field, other drawings can be obtained based on these drawings without creative work. In the drawings:

[0033] Figure 1 It is a flowchart of the system compliance benchmarking method provided in the first embodiment of the present invention.

[0034] Figure 2 It is a flowchart of the system compliance benchmarking method provided in the second embodiment of the present invention.

[0035] Figure 3 It is a flowchart of the system compliance benchmarking method provided in the third embodiment of the present invention.

[0036] Figure 4 It is a flowchart of the system compliance benchmarking method provided in the fourth embodiment of the present invention.

[0037] Figure 5 It is a flowchart of the system compliance benchmarking method provided in the fifth embodiment of the present invention.

[0038] Figure 6 It is a flowchart of the system compliance benchmarking method provided in the sixth embodiment of the present invention.

[0039] Figure 7 It is a structural diagram of the system compliance benchmarking device provided in the seventh embodiment of the present invention.

[0040] Figure 8 It is a schematic diagram of the physical structure of an electronic device provided by the eighth embodiment of the present invention. DETAILED DESCRIPTION

[0041] In order to make the purpose, technical scheme and advantages of the embodiments of the present invention more clear, the embodiments of the present invention are further described in detail below in conjunction with the accompanying drawings. Here, the illustrative embodiments of the present invention and their descriptions are used to explain the present invention, but are not intended to limit the present invention. It should be noted that, in the absence of conflict, the embodiments in this application and the features in the embodiments can be combined with each other arbitrarily.

[0042] The information collected in the technical solution of this application is information and data authorized by the user or fully authorized by all parties, and the collection, storage, use, processing, transmission, provision, disclosure and application of relevant data comply with the relevant laws, regulations and standards of relevant countries and regions, take necessary confidentiality measures, do not violate public order and good morals, and provide corresponding operation entrances for users to choose to authorize or refuse.

[0043] Provide users with corresponding operation entrances for them to choose to agree or reject the automated decision-making results; if the user chooses to reject, the expert decision-making process will be entered.

[0044] In order to facilitate understanding of the technical solution provided by this application, the relevant contents of the technical solution of this application are first explained below.

[0045] Large Language Models (LLM): An AI model consisting of an artificial neural network with many parameters (usually billions or more) trained on a large amount of unlabeled text using self-supervised learning or semi-supervised learning. It can perform a variety of tasks, such as text translation, text summarization, knowledge question answering, content creation assistance, etc.

[0046] Compliance benchmarking of the system: Benchmarking refers to comparing with benchmarks to find gaps, including standard benchmarking, competition (benchmarking), internal benchmarking, etc., with reference to national or industry standards, competitor best practices, internal best practices or management requirements, etc., to compare the actual implementation of the compliance, analyze the gaps and deficiencies, so as to promote the alignment to a better and best level. Among them, the compliance analysis with laws, regulations, regulatory provisions, industry self-discipline guidelines and the organization's own implementation is called compliance benchmarking; while the compliance benchmarking of the system mainly refers to the benchmarking of the organization's internal management requirements with external national / industry regulatory requirements, in order to measure the internalized compliance level of the management in the face of regulatory requirements.

[0047] In order to overcome the problem of low efficiency caused by the need for manual participation in the entire selection process of existing benchmarking schemes, an embodiment of the present invention provides a system compliance benchmarking method, which can quickly and comprehensively perform comparative analysis through a benchmarking analysis model. In addition, since a compliance radar chart is introduced in the process of establishing a benchmarking analysis model, the accuracy of the benchmarking analysis model in identifying compliance situations can be improved, the occurrence of erroneous analysis can be reduced, and the benchmarking effect can be improved.

[0048] The following takes the server as an example of the execution subject to illustrate the specific implementation process of the system compliance benchmarking method provided by the embodiment of the present invention. It is understandable that the execution subject of the system compliance benchmarking method provided by the embodiment of the present invention is not limited to the server.

[0049] Figure 1 is a flow chart of the compliance benchmarking method of the system provided by the first embodiment of the present invention, such as Figure 1 As shown, the system compliance benchmarking method provided by the embodiment of the present invention includes:

[0050] S101. Obtain target benchmarking terms;

[0051] Specifically, the server may obtain target benchmarking clauses, which are clauses that need to be benchmarked in the internal management requirements of the organization.

[0052] For example, if an enterprise has formulated some new management requirements, it can use each clause in these management requirements as target benchmarking clauses.

[0053] S102. Acquire each external regulatory clause from an external regulatory requirement database; wherein the external regulatory requirement database is established in advance;

[0054] Specifically, the server may obtain various external regulatory clauses from an external regulatory requirements database. The external regulatory requirements database is pre-established and includes various clauses obtained from external regulatory requirements. The external regulatory requirements include but are not limited to laws and regulations, regulatory provisions, industry self-regulatory guidelines, etc.

[0055] S103. Obtain the benchmarking results of the target benchmarking clause according to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model; wherein the benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

[0056] Specifically, the server inputs the target benchmarking clause and the external regulatory clauses into the benchmarking analysis model, and the benchmarking analysis model obtains the benchmarking result of the target benchmarking clause by comparing the target benchmarking clause with each external regulatory clause. The benchmarking result of the target clause may include compliance and a compliance radar chart. The compliance status may be compliance, non-compliance or partial compliance. The compliance radar chart is the result of compliance analysis of the target benchmark clause from different compliance dimensions. The compliance radar chart can more intuitively understand the reasons for the compliance status. The benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels. Benchmarking labels can be divided into compliance, non-compliance or partial compliance. The number of sample data included in the benchmarking sample is set according to actual needs, and the embodiment of the present invention is not limited. The specific training process of the benchmarking analysis model is described below and will not be repeated here.

[0057] The system compliance benchmarking method provided by the embodiment of the present invention can obtain target benchmarking clauses; obtain each external regulatory clause from an external regulatory requirements database; wherein the external regulatory requirements database is pre-established; obtain the benchmarking results of the target benchmarking clauses based on the target benchmarking clauses, the each external regulatory clauses and the benchmarking analysis model, thereby realizing automatic benchmarking and improving the efficiency of benchmarking.

[0058] Figure 2 is a flow chart of the system compliance benchmarking method provided by the second embodiment of the present invention, such as Figure 2 As shown, on the basis of the above embodiments, further, obtaining the benchmarking result of the target benchmarking clause according to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model includes:

[0059] S201. According to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model, obtain a compliance radar chart corresponding to the target benchmarking clause and a compliance radar chart corresponding to the external regulatory clause corresponding to the target benchmarking clause;

[0060] Specifically, the target benchmarking clause and the external regulatory clauses are input into the benchmarking analysis model. After the benchmarking analysis model analyzes the target benchmarking clause and the external regulatory clauses, a clause with the highest semantic similarity to the target benchmarking clause can be obtained from the external regulatory clauses as the external regulatory clause corresponding to the target benchmarking clause, and the benchmarking analysis model can output a compliance radar chart corresponding to the target benchmarking clause and a compliance radar chart corresponding to the external regulatory clause corresponding to the target benchmarking clause. The compliance radar chart may include scores for the corresponding clauses under each compliance dimension. Each compliance dimension is set according to actual needs, and the embodiment of the present invention is not limited thereto.

[0061] S202. Obtain the benchmarking results of the target benchmarking clauses according to the comparison results of the compliance radar chart corresponding to the target benchmarking clauses and the compliance radar chart corresponding to the external supervision clauses corresponding to the target benchmarking clauses in various compliance dimensions.

[0062] Specifically, each compliance dimension of the compliance radar chart corresponding to the target benchmarking clause is compared with each compliance dimension of the compliance radar chart corresponding to the external regulatory clause corresponding to the target benchmarking clause, and the benchmarking result of the target benchmarking clause can be obtained according to the comparison results of each compliance dimension. If the comparison results of all compliance dimensions are a match, then the benchmarking result of the target benchmarking clause is compliant. If the comparison results of all compliance dimensions are mismatches, then the benchmarking result of the target benchmarking clause is non-compliant. If the comparison results of some compliance dimensions are a match and the comparison results of some compliance dimensions are mismatches, then the benchmarking result of the target benchmarking clause is partially compliant.

[0063] For example, the compliance radar chart includes three compliance dimensions, and the score of each compliance dimension is 1 or 0. The scores of the above three compliance dimensions of the compliance radar chart of target benchmarking clause a are: Compliance dimension one: 1 point; Compliance dimension two: 0 point; Compliance dimension three: 1 point. The scores of the above three compliance dimensions of the compliance radar chart corresponding to the external regulatory clause b corresponding to target benchmarking clause a are: Compliance dimension one: 1 point; Compliance dimension two: 1 point; Compliance dimension three: 1 point. Comparing each compliance dimension of the compliance radar chart of target benchmarking clause a with each compliance dimension of the compliance radar chart corresponding to external regulatory clause b, the scores of the above two compliance radar charts on compliance dimension one are the same, both 1, and they match on compliance dimension one; the scores of the above two compliance radar charts on compliance dimension two are different, and they do not match on compliance dimension two; the scores of the above two compliance radar charts on compliance dimension three are the same, both 1, and they match in terms of compliance dimension collection. Since the above two compliance radar charts do not match on compliance dimension two, the benchmarking result of target benchmarking clause a is partial compliance.

[0064] Figure 3 is a flow chart of the compliance benchmarking method of the system provided by the third embodiment of the present invention, such as Figure 3 As shown, on the basis of the above embodiments, further, obtaining the benchmark analysis model based on the benchmark sample training includes:

[0065] S301, obtaining the benchmark sample;

[0066] Specifically, collect internal and external management requirements materials that have completed benchmarking, and obtain each external regulatory clause and the corresponding internal enterprise clause as a set of sample data. Analyze the external regulatory clauses and the corresponding internal enterprise clauses as sample data respectively, and obtain the compliance radar chart corresponding to the external regulatory clauses and the compliance radar chart corresponding to the internal enterprise clauses, and determine the benchmarking label for each set of sample data based on the actual benchmarking results. Obtain a set number of groups of sample data as benchmarking samples. Among them, the compliance radar chart corresponding to the external regulatory clauses and the compliance radar chart corresponding to the internal enterprise clauses can be obtained through expert analysis. The compliance dimension adopted by the compliance radar chart is set according to actual needs, and the embodiment of the present invention is not limited.

[0067] S302: Train the initial model according to the benchmark samples to obtain the benchmark analysis model.

[0068] Specifically, the server trains the initial model according to the benchmarking samples, and can train the benchmarking analysis model. The compliance radar chart corresponding to the internal enterprise terms included in the benchmarking samples helps to promote the model to understand the content of each clause in each compliance dimension. The comparative analysis of the compliance radar chart corresponding to the external regulatory terms and the compliance radar chart corresponding to the internal enterprise terms promotes the model's understanding of the compliance situation. This is conducive to improving the accuracy of the benchmarking analysis model obtained by training in practical applications. The initial model includes but is not limited to a large language model, a bag of words model, a recurrent neural network model, a convolutional neural network model, etc., which is selected according to actual needs and is not limited in the embodiments of the present invention.

[0069] In actual use, the benchmarking analysis model selects similar clauses with the highest semantic similarity from various external regulatory clauses for the target benchmarking clauses. The target benchmarking clauses and the corresponding similar clauses are mapped to their respective compliance radar charts, and then the two radar charts are compared and analyzed for similarity to obtain the compliance status, and finally the benchmarking result output is obtained.

[0070] Figure 4 is a flow chart of the compliance benchmarking method of the system provided by the fourth embodiment of the present invention, such as Figure 4 As shown, based on the above embodiments, further, obtaining the benchmark sample includes:

[0071] S401. Evaluate each compliance dimension of the external regulatory clauses and internal enterprise clauses included in each set of sample data, and obtain the scores of the external regulatory clauses and internal enterprise clauses included in each set of sample data in each compliance dimension;

[0072] Specifically, for each set of sample data, the server evaluates the external regulatory terms in various compliance dimensions, and can obtain the scores of the external regulatory terms in various compliance dimensions; and evaluates the compliance dimensions of the enterprise internal terms, and can obtain the scores of the enterprise internal terms in various compliance dimensions. Among them, each compliance dimension is set according to actual needs, and the embodiment of the present invention does not limit it.

[0073] For example, each compliance dimension can include three dimensions: security, desensitization, and confidentiality. External regulatory clauses and corresponding internal enterprise clauses can be evaluated in the above three dimensions. For example, set keywords for the three dimensions of security, desensitization, and confidentiality. If a clause includes a keyword of a dimension, the score of the clause in the dimension is 1. If the clause does not include a keyword of a dimension, the score of the clause in the dimension is 0.

[0074] S402. Based on the scores of the external regulatory terms included in each set of sample data under each compliance dimension, obtain a compliance radar chart corresponding to the external regulatory terms included in each set of sample data; based on the scores of the internal enterprise terms included in each set of sample data under each compliance dimension, obtain a compliance radar chart corresponding to the internal enterprise terms included in each set of sample data.

[0075] Specifically, for each set of sample data, after obtaining the scores of the external regulatory clauses in each compliance dimension and the scores of the internal enterprise clauses in each compliance dimension included in the sample data, it is possible to obtain a compliance radar chart corresponding to the external regulatory clauses based on the scores of the external regulatory clauses in each compliance dimension; and it is possible to obtain a compliance radar chart corresponding to the internal enterprise clauses based on the scores of the internal enterprise clauses in each compliance dimension.

[0076] On the basis of the above embodiments, further, the initial model adopts a large language model.

[0077] Specifically, the large language model has advantages in semantic recognition, and the benchmarking analysis model trained with the large language model works better than other models in the application scenario of this application. When using the large language model to train the benchmarking analysis model, it can be achieved by fine-tuning the general large language model, thereby reducing the required training data, improving the model training efficiency and reducing the model training cost.

[0078] Figure 5is a flowchart of a compliance benchmarking method for a system provided in the fifth embodiment of the present invention, such as Figure 5 As shown, establishing a database of external regulatory requirements includes:

[0079] S501. Obtain various external regulatory requirements;

[0080] Specifically, various external regulatory requirements may be collected, including but not limited to relevant laws and regulations, regulatory provisions, and industry self-regulatory guidelines.

[0081] S502. Obtain each external regulatory clause according to each external regulatory requirement and a clause splitting model; wherein the clause splitting model is established in advance.

[0082] Specifically, by inputting each external regulatory requirement into the clause splitting model, each clause in the external regulatory requirement can be split out and stored as an external regulatory clause in the external regulatory requirement database. By pre-establishing an external regulatory requirement database, it is helpful to improve the efficiency of benchmarking. Among them, the clause splitting model is pre-established.

[0083] For example, a clause splitting model can be obtained by training a model, such as training a large language model to obtain a clause splitting model.

[0084] For example, external regulatory requirements usually have numbers and hierarchical relationships, and a split template can be established based on the numbers and hierarchical relationships as a clause splitting model.

[0085] Figure 6 is a flow chart of a compliance benchmarking method for a system provided by a sixth embodiment of the present invention, such as Figure 6 As shown, based on the above embodiments, further, the acquisition target benchmarking clause includes:

[0086] S601. Obtain the internal management requirements of the enterprise to be benchmarked;

[0087] Specifically, the enterprise may modify or establish the enterprise internal management requirements according to actual needs. The server may obtain the modified enterprise internal management requirements and / or the newly established enterprise internal management requirements as the enterprise internal management requirements to be benchmarked.

[0088] S602. Split the internal management requirements of the enterprise to be benchmarked into multiple target benchmarking clauses.

[0089] Specifically, the server may split the internal management requirements of the enterprise to be benchmarked one by one to obtain multiple target benchmarking clauses.

[0090] For example, each clause of the newly established enterprise internal management requirements has the same end symbol, and the enterprise internal management requirements can be split into multiple target benchmarking clauses based on the end compliance.

[0091] On the basis of the above embodiments, the system compliance benchmarking method provided by the embodiment of the present invention further includes:

[0092] Output benchmarking result review prompt information, the benchmarking result review prompt information carries the benchmarking result of the target benchmarking clause, and the benchmarking result of the target benchmarking clause includes compliance status and a compliance radar chart.

[0093] Specifically, after obtaining the benchmarking result of the target benchmarking clause, the server can output benchmarking result review prompt information to prompt the review of the benchmarking result of the target benchmarking clause. The benchmarking result review prompt information carries the benchmarking result of the target benchmarking clause, and the benchmarking result of the target benchmarking clause includes compliance status and external regulatory terms, compliance radar charts corresponding to external regulatory terms, and compliance radar charts corresponding to target comparison terms. Compliance status may include compliance, non-compliance, or partial compliance. The compliance radar chart is helpful for benchmarking analysts to review the compliance status.

[0094] By outputting benchmarking result review prompt information, benchmarking analysts can quickly obtain the mapping relationship and compliance status between external regulatory terms and target benchmarking terms. By comparing the compliance radar chart corresponding to the external regulatory terms and the compliance radar chart corresponding to the target benchmarking terms, compliance status can be reviewed more accurately and meticulously, which is conducive to analyzing gaps, identifying problems and making rectifications.

[0095] Figure 7 is a schematic diagram of the structure of the system compliance benchmarking device provided by the seventh embodiment of the present invention, such as Figure 7 As shown, the system compliance benchmarking device provided by the embodiment of the present invention includes a first acquisition module 701, a second acquisition module 702 and a benchmarking module 703, wherein:

[0096] The first acquisition module 701 is used to obtain the target benchmarking clause; the second acquisition module 702 is used to obtain each external regulatory clause from the external regulatory requirements database; wherein the external regulatory requirements database is pre-established; the benchmarking module 703 is used to obtain the benchmarking results of the target benchmarking clause according to the target benchmarking clause, the each external regulatory clause and the benchmarking analysis model; wherein the benchmarking analysis model is obtained based on the benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

[0097] Specifically, the first acquisition module 701 may acquire target benchmarking clauses, which are clauses that need to be benchmarked in the internal management requirements of an organization.

[0098] The second acquisition module 702 can obtain various external regulatory clauses from the external regulatory requirements database. The external regulatory requirements database is pre-established and includes various clauses obtained from external regulatory requirements. The external regulatory requirements include but are not limited to laws and regulations, regulatory provisions, industry self-discipline guidelines, etc.

[0099] The benchmarking module 703 inputs the target benchmarking clause and the external regulatory clauses into the benchmarking analysis model, and the benchmarking analysis model obtains the benchmarking result of the target benchmarking clause by comparing the target benchmarking clause with each external regulatory clause. The benchmarking result of the target clause may include compliance and a compliance radar chart. The compliance status may be compliance, non-compliance or partial compliance. The compliance radar chart is the result of compliance analysis of the target benchmark clause from different compliance dimensions. The compliance radar chart can more intuitively understand the reasons for the compliance status. The benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels. Benchmarking labels can be divided into compliance, non-compliance or partial compliance. The number of sample data included in the benchmarking sample is set according to actual needs, and the embodiment of the present invention is not limited. The specific training process of the benchmarking analysis model is described below and will not be repeated here.

[0100] The system compliance benchmarking device provided in the embodiment of the present invention can obtain target benchmarking clauses; obtain each external regulatory clause from an external regulatory requirements database; wherein the external regulatory requirements database is pre-established; obtain the benchmarking results of the target benchmarking clauses based on the target benchmarking clauses, the each external regulatory clauses and the benchmarking analysis model, thereby realizing automatic benchmarking and improving the efficiency of benchmarking.

[0101] On the basis of the above embodiments, further, the benchmarking module 703 includes a first obtaining unit and a comparing unit, wherein:

[0102] The first obtaining unit is used to obtain, according to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model, a compliance radar chart corresponding to the target benchmarking clause and a compliance radar chart corresponding to the external regulatory clause corresponding to the target benchmarking clause; the comparison unit is used to obtain the benchmarking result of the target benchmarking clause based on the comparison results of the compliance radar chart corresponding to the target benchmarking clause and the compliance radar chart corresponding to the external regulatory clause corresponding to the target benchmarking clause in each compliance dimension.

[0103] On the basis of the above embodiments, further, the method of obtaining the benchmark analysis model based on the benchmark sample training also includes a third acquisition module and a training module, wherein:

[0104] The third acquisition module is used to acquire the benchmark samples; the training module is used to train the initial model according to the benchmark samples to obtain the benchmark analysis model.

[0105] On the basis of the above embodiments, further, the third acquisition module includes an evaluation unit and a second acquisition unit, wherein:

[0106] The evaluation unit is used to evaluate each compliance dimension of the external regulatory clauses and internal enterprise clauses included in each group of sample data, and obtain the scores of the external regulatory clauses and the internal enterprise clauses included in each group of sample data under each compliance dimension; the second acquisition unit is used to obtain a compliance radar chart corresponding to the external regulatory clauses included in each group of sample data according to the scores of the external regulatory clauses included in each group of sample data under each compliance dimension; and obtain a compliance radar chart corresponding to the internal enterprise clauses included in each group of sample data according to the scores of the internal enterprise clauses included in each group of sample data under each compliance dimension.

[0107] On the basis of the above embodiments, further, the initial model adopts a large language model.

[0108] On the basis of the above embodiments, further, the system compliance benchmarking device provided by the embodiment of the present invention further includes a fourth acquisition module and a splitting module, wherein:

[0109] The fourth acquisition module is used to obtain various external regulatory requirements; the splitting module is used to obtain various external regulatory clauses according to various external regulatory requirements and the clause splitting model; wherein the clause splitting model is pre-established.

[0110] On the basis of the above embodiments, further, the first acquisition module 701 includes an acquisition unit and a splitting unit, wherein:

[0111] The acquisition unit is used to acquire the internal management requirements of the enterprise to be benchmarked; the splitting unit is used to split the internal management requirements of the enterprise to be benchmarked into multiple target benchmarking clauses.

[0112] On the basis of the above embodiments, further, the embodiment of the present invention also provides an output module, wherein:

[0113] The output module is used to output benchmarking result review prompt information, and the benchmarking result review prompt information carries the benchmarking result of the target benchmarking clause, and the benchmarking result of the target benchmarking clause includes compliance status and compliance radar chart.

[0114] The embodiments of the apparatus provided in the embodiments of the present invention can be specifically used to execute the processing flow of the above-mentioned method embodiments, and its functions are not described in detail here, and reference can be made to the detailed description of the above-mentioned method embodiments.

[0115] It should be noted that the system compliance benchmarking method provided in the embodiment of the present invention can be used in the financial field, and can also be used in any technical field other than the financial field. The embodiment of the present invention does not limit the application field of the system compliance benchmarking method.

[0116] Figure 8 is a schematic diagram of the physical structure of an electronic device provided by an eighth embodiment of the present invention, such as Figure 8 As shown, the electronic device may include: a processor 801, a communication interface 802, a memory 803 and a communication bus 804, wherein the processor 801, the communication interface 802 and the memory 803 complete mutual communication through the communication bus 804. The processor 801 may call the logic instructions in the memory 803 to execute the following method: obtaining the target benchmarking clause; obtaining each external regulatory clause from the external regulatory requirements database; wherein the external regulatory requirements database is pre-established; obtaining the benchmarking result of the target benchmarking clause according to the target benchmarking clause, each external regulatory clause and the benchmarking analysis model; wherein the benchmarking analysis model is obtained based on the training of the benchmarking samples, and each group of sample data in the benchmarking samples includes the external regulatory clause and the corresponding compliance radar chart, the internal clause of the enterprise and the corresponding compliance radar chart and the benchmarking label.

[0117] In addition, the logic instructions in the above-mentioned memory 803 can be implemented in the form of a software functional unit and can be stored in a computer-readable storage medium when it is sold or used as an independent product. Based on such an understanding, the technical solution of the present invention, in essence, or the part that contributes to the prior art or the part of the technical solution, can be embodied in the form of a software product, and the computer software product is stored in a storage medium, including several instructions for a computer device (which can be a personal computer, a server, or a network device, etc.) to perform all or part of the steps of the method described in each embodiment of the present invention. The aforementioned storage medium includes: U disk, mobile hard disk, read-only memory (ROM, Read-Only Memory), random access memory (RAM, Random Access Memory), disk or optical disk and other media that can store program codes.

[0118] The present embodiment discloses a computer program product, which includes a computer program stored on a computer-readable storage medium, and the computer program includes program instructions. When the program instructions are executed by a computer, the computer can execute the methods provided by the above-mentioned method embodiments, for example, including: obtaining target benchmarking clauses; obtaining each external regulatory clause from an external regulatory requirements database; wherein the external regulatory requirements database is pre-established; obtaining a benchmarking result of the target benchmarking clause according to the target benchmarking clause, the each external regulatory clause and a benchmarking analysis model; wherein the benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

[0119] The present embodiment provides a computer-readable storage medium, which stores a computer program, and the computer program enables the computer to execute the methods provided by the above-mentioned method embodiments, for example, including: obtaining target benchmarking clauses; obtaining each external regulatory clause from an external regulatory requirements database; wherein the external regulatory requirements database is pre-established; obtaining the benchmarking results of the target benchmarking clauses according to the target benchmarking clauses, the each external regulatory clauses and a benchmarking analysis model; wherein the benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking samples includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

[0120] Those skilled in the art will appreciate that embodiments of the present invention may be provided as methods, systems, or computer program products. Therefore, the present invention may take the form of a complete hardware embodiment, a complete software embodiment, or an embodiment combining software and hardware. Moreover, the present invention may take the form of a computer program product implemented on one or more computer-usable storage media (including but not limited to disk storage, CD-ROM, optical storage, etc.) containing computer-usable program code.

[0121] The present invention is described with reference to flowcharts and / or block diagrams of methods, devices (systems), and computer program products according to embodiments of the present invention. It should be understood that each process and / or block in the flowchart and / or block diagram, as well as the combination of processes and / or blocks in the flowchart and / or block diagram, can be implemented by computer program instructions. These computer program instructions can be provided to a processor of a general-purpose computer, a special-purpose computer, an embedded processor, or other programmable data processing device to produce a machine, so that the instructions executed by the processor of the computer or other programmable data processing device generate instructions for implementing the processes in the flowchart and / or block diagram. Figure 1 A process or multiple processes and / or boxes Figure 1 A device that provides the functions specified in a block or multiple blocks.

[0122] These computer program instructions may also be stored in a computer-readable memory capable of directing a computer or other programmable data processing device to operate in a specific manner, so that the instructions stored in the computer-readable memory produce an article of manufacture comprising an instruction device, which implements the process Figure 1 A process or multiple processes and / or boxes Figure 1 A function specified in one or more boxes.

[0123] These computer program instructions can also be loaded onto a computer or other programmable data processing device so that a series of operating steps are executed on the computer or other programmable device to produce a computer-implemented process, thereby providing instructions for implementing the process. Figure 1 A process or multiple processes and / or boxes Figure 1 The steps for the functions specified in one or more boxes.

[0124] In the description of this specification, the description with reference to the terms "one embodiment", "a specific embodiment", "some embodiments", "for example", "example", "specific example", or "some examples" means that the specific features, structures, materials or characteristics described in conjunction with the embodiment or example are included in at least one embodiment or example of the present invention. In this specification, the schematic representation of the above terms does not necessarily refer to the same embodiment or example. Moreover, the specific features, structures, materials or characteristics described may be combined in any one or more embodiments or examples in a suitable manner.

[0125] The specific embodiments described above further illustrate the objectives, technical solutions and beneficial effects of the present invention in detail. It should be understood that the above description is only a specific embodiment of the present invention and is not intended to limit the scope of protection of the present invention. Any modifications, equivalent substitutions, improvements, etc. made within the spirit and principles of the present invention should be included in the scope of protection of the present invention.

Claims

1. A compliance benchmarking method for an institutional system, characterized in that: include: Obtain target benchmarking terms; Acquire each external regulatory clause from an external regulatory requirement database; wherein the external regulatory requirement database is pre-established; According to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model, the benchmarking results of the target benchmarking clause are obtained; wherein the benchmarking analysis model is obtained based on benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

2. The method according to claim 1, characterized in that The obtaining of the benchmarking results of the target benchmarking clauses according to the target benchmarking clauses, the external regulatory clauses and the benchmarking analysis model includes: According to the target benchmarking clause, the external regulatory clauses and the benchmarking analysis model, obtain a compliance radar chart corresponding to the target benchmarking clause and a compliance radar chart corresponding to the external regulatory clause corresponding to the target benchmarking clause; The benchmarking results of the target benchmarking clauses are obtained based on the comparison results of the compliance radar chart corresponding to the target benchmarking clauses and the compliance radar chart corresponding to the external regulatory clauses corresponding to the target benchmarking clauses in various compliance dimensions.

3. The method according to claim 1, characterized in that The obtaining of the benchmark analysis model based on the benchmark sample training includes: Obtaining the benchmark sample; The initial model is trained according to the benchmark samples to obtain the benchmark analysis model.

4. The method according to claim 3, characterized in that The obtaining of the benchmark sample comprises: Evaluate each compliance dimension for the external regulatory clauses and internal enterprise clauses included in each set of sample data, and obtain the scores of the external regulatory clauses and internal enterprise clauses included in each set of sample data in each compliance dimension; According to the scores of the external regulatory clauses included in each set of sample data under each compliance dimension, a compliance radar chart corresponding to the external regulatory clauses included in each set of sample data is obtained; according to the scores of the internal enterprise clauses included in each set of sample data under each compliance dimension, a compliance radar chart corresponding to the internal enterprise clauses included in each set of sample data is obtained.

5. The method according to claim 1, characterized in that Establishing a database of external regulatory requirements includes: Obtain various external regulatory requirements; According to various external regulatory requirements and a clause splitting model, various external regulatory clauses are obtained; wherein the clause splitting model is established in advance.

6. The method according to claim 1, characterized in that The target benchmarking terms include: Obtain the internal management requirements of the enterprise to be benchmarked; Split the internal management requirements of the enterprise to be benchmarked into multiple target benchmarking clauses.

7. The method according to any one of claims 1 to 6, characterized in that: Also includes: Output benchmarking result review prompt information, the benchmarking result review prompt information carries the benchmarking result of the target benchmarking clause, and the benchmarking result of the target benchmarking clause includes compliance status and a compliance radar chart.

8. A system compliance benchmarking device, characterized in that: include: A first acquisition module is used to acquire target benchmarking terms; A second acquisition module is used to acquire each external regulatory clause from an external regulatory requirement database; wherein the external regulatory requirement database is pre-established; A benchmarking module is used to obtain the benchmarking results of the target benchmarking clauses according to the target benchmarking clauses, the external regulatory clauses and the benchmarking analysis model; wherein the benchmarking analysis model is obtained based on the benchmarking sample training, and each group of sample data in the benchmarking sample includes external regulatory clauses and corresponding compliance radar charts, internal enterprise clauses and corresponding compliance radar charts and benchmarking labels.

9. A computer device comprising a memory, a processor and a computer program stored in the memory, characterized in that: The processor executes the computer program to implement the steps of the method according to any one of claims 1 to 7.

10. A computer-readable storage medium, characterized in that: The computer-readable storage medium stores a computer program / instruction, which implements the steps of the method according to any one of claims 1 to 7 when executed by a processor.

11. A computer program product comprising a computer program / instructions, characterized in that When the computer program / instructions are executed by a processor, the steps of the method according to any one of claims 1 to 7 are implemented.

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