A method and system for traceability audits against compliance footprint data

Abstract

This application relates to a method and system for tracing and auditing compliance audit data. The method includes: acquiring multi-source communication records; receiving an external trigger signal; generating an initial audit task based on the trigger signal; determining an initial audit result and preliminary audit conclusion from the communication records based on the initial audit task; creating a secondary audit task based on the initial audit result using a multi-path audit engine; determining a deep audit result and deep audit conclusion from the communication records based on the secondary audit task; the initial audit task and the deep audit task are associated in a tree structure; automatically storing operations on communication records in the initial audit task as a first audit record; storing operations on communication records in the secondary audit task as a second audit record; and generating an audit report based on the first and second audit records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the deep audit conclusion.

Description

Technical Field

[0001] This application relates to the field of data auditing, and in particular to a method and system for tracing and auditing compliance-compliant data. Background Technology

[0002] As securities industry regulation becomes stricter, regulators require securities service providers to maintain comprehensive records of information during communication with clients and to effectively audit these records to determine whether any violations have occurred.

[0003] Existing technical solutions only achieve basic information traceability, such as audio recording, video recording, chat log archiving, and simple query functions. However, in practice, the following defects exist: (1) The traceability capability is weak. When receiving customer complaints or discovering clues of violations, the existing simple query function cannot effectively support complex, multi-level audit analysis, and the compliance of the traceability process itself cannot be self-proven. (2) Existing technology lacks the recording and management of multiple and related audit processes, making it difficult to form a complete and traceable traceability evidence chain. (3) In the massive amount of traceability data, the traceability work is highly dependent on manual labor, resulting in low traceability efficiency and easy omission of key information. Furthermore, due to the lack of structured traceability processes and result records, the final violation judgment often depends on the personal experience of compliance personnel, lacking unified and objective technical standards and support, making it difficult to cope with re-inspection and audit.

[0004] Therefore, the compliance and efficiency of existing traceability methods need to be optimized. Summary of the Invention

[0005] This application provides a method and system for tracing and auditing compliant traceability data, so as to at least solve the problem that the compliance and efficiency of traceability methods in related technologies need to be optimized.

[0006] Firstly, embodiments of this application provide a method for tracing and auditing compliance-compliant audit data, including: Acquire multi-source communication records, receive external trigger signals, generate an initial audit task based on the trigger signals, and determine the initial audit results and preliminary audit conclusions from the communication records according to the initial audit task; A secondary audit task is created based on the initial audit result using a multi-path audit engine. The in-depth audit result and in-depth audit conclusion are determined from the communication record based on the secondary audit task. The initial audit task and the in-depth audit task are associated in a tree structure. Automatically store the operations on communication records in the initial audit task as the first trace record, and store the operations on communication records in the second audit task as the second trace record; An audit report is generated based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion.

[0007] In one embodiment, each communication record includes metadata, which includes: timestamp, session ID, participant ID, and channel type.

[0008] In one embodiment, the external trigger signals are customer complaint work orders, system risk warnings, and internal spot check instructions.

[0009] In one embodiment, automatically storing the operations on communication records during the initial audit task as a first trace record includes: During the execution of the initial audit task, the query, retrieval, playback, and marking operations of target communication data related to the initial audit task, as well as the operation sequence, operation attributes, and auditor identity, are stored as the first trace data.

[0010] In one embodiment, generating an audit report based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion, includes: The preliminary investigation conclusions and the communication records of the first target were determined from the first audit record; Based on the preliminary investigation conclusions and the first target communication records, determine the second target communication records and the in-depth investigation conclusions; The final audit conclusion is determined based on the second target communication records and the in-depth audit conclusion. The audit report includes the target communication records and the process of determining the aforementioned final audit conclusion.

[0011] Secondly, embodiments of this application provide a system for tracing and auditing compliance record data. The system is used to implement the method for tracing and auditing compliance record data described in the first aspect. The system includes: Preliminary audit module: used to acquire multi-source communication records, receive external trigger signals, generate an initial audit task based on the trigger signals, and determine the initial audit results and preliminary audit conclusions from the communication records according to the initial audit task; The in-depth audit module is used to create a secondary audit task based on the initial audit result through a multi-path audit engine, and to determine the in-depth audit result and in-depth audit conclusion from the communication record according to the secondary audit task. The initial audit task and the in-depth audit task are associated in a tree structure. The audit record module is used to automatically store the operations on communication records in the initial audit task as the first record and the operations on communication records in the second audit task as the second record. Audit Result Module: Used to generate an audit report based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion.

[0012] In one embodiment, the audit result module is used to determine a preliminary audit conclusion and a first target communication record from the first trace record; Based on the preliminary investigation conclusions and the first target communication records, determine the second target communication records and the in-depth investigation conclusions; The final audit conclusion is determined based on the second target communication records and the in-depth audit conclusion. The audit report includes the target communication records and the process of determining the aforementioned final audit conclusion.

[0013] In one embodiment, the system further includes a visualization module for visually displaying the initial audit task and its associated in-depth audit task path in the form of a tree structure or flowchart, and displaying the completion status and audit conclusion at each task node.

[0014] Thirdly, embodiments of this application provide a computer device, including a memory, a processor, and a computer program stored in the memory and executable on the processor. When the processor executes the computer program, it implements a method for tracing and auditing compliance traceability data as described in the first aspect above.

[0015] Fourthly, embodiments of this application provide a computer-readable storage medium having a computer program stored thereon, which, when executed by a processor, implements a method for tracing and auditing compliance traceability data as described in the first aspect above.

[0016] The present application provides a method and system for tracing and auditing compliant data, which has at least the following technical effects.

[0017] This application uses a tree-like structure to structure the complex, multi-layered traceability process, enabling even the most complex violations to be clearly analyzed and presented. By leaving a record of the audit process, it ensures complete transparency, meeting regulatory requirements for the compliance of the audit activities themselves. Systematic analysis through multi-path audits significantly improves audit efficiency. An audit report is generated by integrating the records and conclusions of all related audit tasks. This transforms the basis for judgment from the auditor's subjective experience into a structured sequence of operations and a chain of evidence recorded by the system, enhancing the objectivity and credibility of the judgment results.

[0018] Details of one or more embodiments of this application are set forth in the following drawings and description to make other features, objects and advantages of this application more readily apparent. Attached Figure Description

[0019] The accompanying drawings, which are included to provide a further understanding of this application and form part of this application, illustrate exemplary embodiments and are used to explain this application, but do not constitute an undue limitation of this application. In the drawings: Figure 1 This is a flowchart illustrating a method for tracing and auditing compliance-compliant data according to an embodiment of this application; Figure 2 This is a structural block diagram of a system for tracing and auditing compliance-compliant data, as illustrated in an embodiment of this application. Figure 3 This is a schematic diagram of the structure of an electronic device provided in an embodiment of this application. Detailed Implementation

[0020] To make the objectives, technical solutions, and advantages of this application clearer, the application is described and illustrated below with reference to the accompanying drawings and embodiments. It should be understood that the specific embodiments described herein are merely illustrative and not intended to limit the scope of this application. All other embodiments obtained by those skilled in the art based on the embodiments provided in this application without inventive effort are within the scope of protection of this application.

[0021] Obviously, the accompanying drawings described below are merely some examples or embodiments of this application. Those skilled in the art can apply this application to other similar scenarios based on these drawings without any inventive effort. Furthermore, it is understood that although the efforts made in this development process may be complex and lengthy, for those skilled in the art related to the content disclosed in this application, any changes to design, manufacturing, or production based on the technical content disclosed in this application are merely conventional technical means and should not be construed as insufficient disclosure of the content of this application.

[0022] In this application, the reference to "embodiment" means that a specific feature, structure, or characteristic described in connection with an embodiment may be included in at least one embodiment of this application. The appearance of this phrase in various places in the specification does not necessarily refer to the same embodiment, nor is it a separate or alternative embodiment that is mutually exclusive with other embodiments. It will be explicitly and implicitly understood by those skilled in the art that the embodiments described in this application may be combined with other embodiments without conflict.

[0023] Unless otherwise defined, the technical or scientific terms used in this application shall have the ordinary meaning understood by one of ordinary skill in the art to which this application pertains. The terms “a,” “an,” “an,” “the,” and similar words used in this application do not indicate quantity limitation and may indicate singular or plural. The terms “comprising,” “including,” “having,” and any variations thereof used in this application are intended to cover non-exclusive inclusion; for example, a process, method, system, product, or device that includes a series of steps or modules (units) is not limited to the listed steps or units, but may also include steps or units not listed, or may include other steps or units inherent to these processes, methods, products, or devices. The terms “connected,” “linked,” “coupled,” and similar words used in this application are not limited to physical or mechanical connections, but may include electrical connections, whether direct or indirect. “Multiple” used in this application refers to two or more. “And / or” describes the relationship between related objects, indicating that three relationships may exist; for example, “A and / or B” can represent: A alone, A and B simultaneously, and B alone. The character " / " generally indicates that the preceding and following objects are in an "or" relationship. The terms "first," "second," and "third" used in this application are merely to distinguish similar objects and do not represent a specific ordering of the objects.

[0024] Firstly, embodiments of this application provide a method for tracing and auditing compliant audit data. Figure 1 This is a flowchart illustrating a method for tracing and auditing compliance-based audit data according to an embodiment of this application, such as... Figure 1 As shown, the method includes: Step S101: Obtain multi-source communication records, receive external trigger signals, generate an initial audit task based on the trigger signals, and determine the initial audit results and preliminary audit conclusions from the communication records according to the initial audit task.

[0025] Optionally, it aggregates and stores communication records between customers and service personnel from various channels (such as recorded calls, online chat, emails, and video conferencing). Each record includes metadata such as timestamps, session IDs, participant IDs, and channel types. These communication records are stored in a database as the raw log database.

[0026] External trigger signals include customer complaint work orders, system risk warnings, and internal spot check instructions. Upon receiving an external trigger signal, an initial audit task is automatically created. This task records information such as the trigger source, trigger time, the object to be audited (e.g., a specific investment advisor or a customer within a specific time period), and clues (keywords).

[0027] During audits, an intelligent analysis engine assists in quickly locating key information, improving audit efficiency. Furthermore, it can be combined with Natural Language Processing (NLP) and speech-to-text technologies to aid analysis. Throughout the audit process, all queries, retrievals, playbacks, and tagging operations performed by auditors on the original data are automatically recorded. These operation sequences, times, and contents, along with the auditor's identity information, are stored in a database as a traceability database. After the audit, auditors must submit preliminary conclusions and can upload supporting evidence. Preliminary conclusions may include phrases such as "No problems found," "Suspected misleading statement," or "Further verification of record XX is required."

[0028] Step S102: Create a secondary audit task based on the initial audit result using the multi-path audit engine. Determine the in-depth audit result and in-depth audit conclusion from the communication records based on the secondary audit task. The initial audit task and the in-depth audit task are associated in a tree structure.

[0029] Optionally, when a single audit may not yield a conclusion, requiring secondary or even multiple in-depth audits based on the results of previous audits, or when multiple leads require multi-path audits, a multi-path audit engine can create and link new, subsequent audit tasks based on the conclusions of the previous audit task, thus forming a chain of audit tasks with parent-child or sequential relationships. During the execution of audit tasks, an intelligent analysis engine assists in quickly locating key information, improving audit efficiency. Furthermore, it can be combined with Natural Language Processing (NLP) and speech-to-text technologies to aid analysis. During the execution of an audit task, all actions taken by the auditor are recorded, including but not limited to: search keywords, filtered time ranges, played audio clips, viewed chat logs, and added annotations and tags. All actions are recorded in real-time in the "Tracing Path Database." After the audit is completed, the auditor must submit a preliminary conclusion and can upload supporting evidence. Preliminary conclusions may include phrases such as "No problems found," "Suspected misleading statement," or "Further verification of XX record is required."

[0030] As an example, if an audit discovers that investment advisor A mentioned a certain stock at time T, a second audit can specifically analyze all recommendation records for that stock before and after time T. Furthermore, the relationships between audit tasks can be clearly displayed in the form of parent-child or parallel tasks, forming an "audit tree" that visually illustrates the tracing path.

[0031] It should be noted that if a second audit cannot reach a conclusion, an audit can be conducted again. The audit steps are the same as the second audit steps. Based on the conclusion of the previous audit task, a new, subsequent audit task is created and associated, forming an audit task chain with parent-child or sequential relationships.

[0032] This approach, using a tree-like structure, structures the complex, multi-layered traceability process, enabling even the most intricate violations to be clearly analyzed and presented. By leaving a record of the investigation process, it ensures complete transparency, meeting regulatory requirements for the compliance of the investigation itself. Through multi-path tracing and systematic analysis, and utilizing an intelligent analysis engine to quickly locate key information, it significantly improves investigation efficiency.

[0033] Step S103: Automatically store the operations on communication records in the initial audit task as the first trace record, and store the operations on communication records in the second audit task as the second trace record.

[0034] Optionally, during the execution of the audit task, all operations performed by the auditors during the task are recorded, including but not limited to: keywords used for querying, time ranges for filtering, audio clips played, chat logs viewed, and added notes and tags. These operation sequences, operation times, operation content, and auditor identity information are stored together to form a traceability record, and all operations are recorded in real time in the "traceability path database".

[0035] This approach, by leaving a record of the investigation process, ensures complete transparency and meets the regulatory requirements for compliance. It also provides a chain of evidence for subsequent assessments of the investigation results, enhancing the objectivity and credibility of the judgments.

[0036] In one example, step S103 includes: during the execution of the initial audit task, querying, retrieving, playing, and marking operations on target communication data related to the initial audit task, as well as operation sequences, operation attributes, and auditor identities, and storing them as first trace data.

[0037] Optionally, during the execution of each audit task, all operations performed by the auditor during the task are recorded. During the execution of the initial audit task, the query, retrieval, playback, and tagging operations of target communication data related to the initial audit task, as well as the operation sequence, operation attributes, and auditor identity, are stored as the first type of trace data. During the execution of the in-depth audit task, the query, retrieval, playback, and tagging operations of target communication data related to the in-depth audit task, as well as the operation sequence, operation attributes, and auditor identity, are stored as the second type of trace data. Querying includes the query keywords; retrieval includes the filtered time range; playback includes the played audio clips; and it also includes viewed chat logs, added notes and tags, etc. All operations are recorded in real time in the "Tracing Path Database".

[0038] This approach, by leaving a record of the investigation process, ensures complete transparency and meets the regulatory requirements for compliance. It also provides a chain of evidence for subsequent assessments of the investigation results, enhancing the objectivity and credibility of the judgments.

[0039] Step S104: Generate an audit report based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion.

[0040] Optionally, an audit report can be generated by integrating all related audit task logs and audit conclusions. The report extracts key original log fragments (such as highlighted chat logs and marked recording timestamps). It also automatically generates a structured compliance report containing the tracing path, analysis process, and key evidence. In this way, the basis for judgment shifts from the auditor's subjective experience to a structured operational sequence and chain of evidence recorded by the system, improving the objectivity and credibility of the judgment results.

[0041] In one example, step S104 includes: Step S1041: Determine the preliminary audit conclusion and the first target communication record from the first trace record.

[0042] Step S1042: Determine the second target communication record and the in-depth investigation conclusion based on the preliminary investigation conclusion and the first target communication record.

[0043] Step S1043: Determine the final audit conclusion based on the second target communication records and the in-depth audit conclusion. The audit report includes the target communication records and the process of determining the final audit conclusion.

[0044] Optionally, the system integrates all related audit records and conclusions, extracting key original traces (such as highlighted chat logs and marked recording timestamps). An intelligent analysis engine then performs the analysis process from initial clues to primary audit discovery, secondary audit verification, and final conclusion. The audit department report clearly presents the auditor's judgment logic chain. This approach transforms the basis for judgment from the auditor's subjective experience into a structured sequence of operations and a chain of evidence recorded by the system, improving the objectivity and credibility of the judgment results.

[0045] As an example, the following is a customer complaint handling process: Complaint received: The system received a complaint regarding investment advisor Zhang San's "misleading advertising of a certain stock on October 26, 2023." Upon receiving the complaint, a follow-up task T1 is automatically created.

[0046] Path A, First Inspection: Inspector Li Si receives task T1. He queries all of Zhang San's communication records on October 26th through the system. All of Li Si's query operations are stored in the traceability path database. Li Si finds a relevant call recording, but the content is blurry and cannot be directly determined. In his conclusion, he marks it as "Suspected of being misleading, requiring secondary analysis in conjunction with all written communication records of the day," and creates a related sub-task T2.

[0047] Path A Secondary Audit: The system automatically passes the context of T1 to T2. Auditor Wang Wu receives T2 and, based on the results of the first audit, is guided to focus on analyzing the chat logs and emails from October 26th. Wang Wu uses the keywords "a certain stock + promised returns" to search, and all of Wang Wu's query operations are stored in the traceability path database. Sure enough, a relevant chat log is found. Wang Wu marks this log as key evidence and concludes that "a violation of the promised returns was found."

[0048] Path B, one audit: After communicating with the client, auditor Li Si obtained another relevant clue: the client had also chatted with another salesperson. Li Si created a new path B and created audit task T3 under path B.

[0049] Report generation: Automatically integrates T1, T2, and T3 task records, operation logs, tagged audio clips, and chat logs under path A and path B into a single file. The file clearly demonstrates the complete tracing path and chain of evidence from receiving the complaint to identifying the suspicious recording, and finally finding irrefutable evidence from the written records.

[0050] Final verdict: Based on this well-structured and evidence-rich report, the compliance officer ultimately determined that investment advisor Zhang San had engaged in misconduct.

[0051] In summary, this application uses a tree-like structure to structure the complex, multi-layered traceability process, enabling even the most complex violations to be clearly analyzed and presented. By leaving a record of the audit process, it ensures complete transparency, meeting regulatory requirements for the compliance of the audit activities themselves. Through multi-path tracing and systematic analysis, and utilizing an intelligent analysis engine to quickly locate key information, it significantly improves audit efficiency. By integrating the records and conclusions of all related audit tasks, it generates an audit report. This transforms the basis for judgment from the auditor's subjective experience into a structured sequence of operations and a chain of evidence recorded by the system, enhancing the objectivity and credibility of the judgment results.

[0052] Secondly, embodiments of this application provide a system for tracing and auditing compliance traceability data, the system being used to implement the method for tracing and auditing compliance traceability data as described in the first aspect. Figure 2 This is a structural block diagram of a system for tracing and auditing compliance-related data, as illustrated in an embodiment of this application. Figure 2 As shown, the system includes: Preliminary audit module 100: used to acquire multi-source communication records, receive external trigger signals, generate initial audit tasks based on trigger signals, and determine initial audit results and preliminary audit conclusions from communication records based on the initial audit tasks.

[0053] Deep Audit Module 200: Used to create secondary audit tasks based on the initial audit results through the multi-path audit engine, and determine the deep audit results and deep audit conclusions from the communication records according to the secondary audit tasks. The initial audit tasks and deep audit tasks are related in a tree structure.

[0054] Optionally, the Deep Audit module can be configured to create, manage, and associate multiple independent or parallel audits contained in the traceability.

[0055] Audit Traceability Module 300: This module automatically stores operations on communication records during the initial audit task as the first traceability record, and operations on communication records during the second audit task as the second traceability record. Optionally, the traceability records are stored in the traceability path database.

[0056] Audit Results Module 400: Used to generate an audit report based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion.

[0057] Optionally, the audit results module 400 is configured to access the audit database and generate structured compliance audit reports.

[0058] Optionally, the audit tasks in this application are implemented through a multi-path tracing data model, which is a data object (or data structure) stored in a database. A tracing object contains multiple related audit tasks, and the object contains at least the following fields: tracing ID, trigger source, creation time, and responsible compliance personnel; tracing sub-task objects: containing task ID, audit conditions, and audit results; sub-task objects and object relationships: including parent-child, parallel, and mutually exclusive structures; audit operation log field (used to record all operations in this task); and audit conclusion field.

[0059] In one example, each communication record includes metadata, which includes: timestamp, session ID, participant ID, and channel type.

[0060] In one example, external trigger signals include customer complaint work orders, system risk warnings, and internal spot check instructions.

[0061] In one example, the traceability module 300 includes: during the execution of the initial audit task, querying, retrieving, playing, and marking operations on target communication data related to the initial audit task, as well as storing the operation sequence, operation attributes, and auditor identity as the first traceability data.

[0062] In one example, the audit results module 400 is used to determine preliminary audit conclusions and first target communication records from the first trace record.

[0063] Based on the preliminary investigation findings and the communication records of the first target, the communication records of the second target and the conclusions of the in-depth investigation were determined.

[0064] The final audit conclusion is determined based on the second target communication records and the in-depth audit findings. The audit report includes the target communication records and the process for determining the aforementioned final audit conclusion.

[0065] In one example, the system also includes a visualization module that visually displays the initial audit task and its associated in-depth audit task path in a tree structure or flowchart, showing the completion status and audit conclusions at each task node. This allows users to understand the entire traceability investigation process and its path at a glance.

[0066] In summary, this application uses a tree-like structure to structure the complex, multi-layered traceability process, enabling even the most complex violations to be clearly analyzed and presented. By leaving a record of the audit process, it ensures complete transparency, meeting regulatory requirements for the compliance of the audit activities themselves. Through multi-path tracing and systematic analysis, and utilizing an intelligent analysis engine to quickly locate key information, it significantly improves audit efficiency. By integrating the records and conclusions of all related audit tasks, it generates an audit report. This transforms the basis for judgment from the auditor's subjective experience into a structured sequence of operations and a chain of evidence recorded by the system, enhancing the objectivity and credibility of the judgment results.

[0067] Thirdly, embodiments of this application provide an electronic device, Figure 3 This is a schematic diagram of the structure of an electronic device provided in an embodiment of this application. The electronic device includes a memory, a processor, and a computer program stored in the memory and executable on the processor. When the processor executes the program, it implements the method for tracing and auditing compliant traceable data provided in the first aspect. Figure 3 The electronic device 60 shown is merely an example and should not impose any limitations on the functionality and scope of use of the embodiments of this application.

[0068] Electronic device 60 may be in the form of a general-purpose computing device, such as a server device. Components of electronic device 60 may include, but are not limited to: at least one processor 61, at least one memory 62, and a bus 63 connecting different system components (including memory 62 and processor 61).

[0069] Bus 63 includes a data bus, an address bus, and a control bus.

[0070] The memory 62 may include volatile memory, such as random access memory (RAM) 621 and / or cache memory 622, and may further include read-only memory (ROM) 623.

[0071] The memory 62 may also include a program / utility 625 having a set (at least one) of program modules 624, including but not limited to: an operating system, one or more application programs, other program modules, and program data, each or some combination of these examples may include an implementation of a network environment.

[0072] The processor 61 executes various functional applications and data processing by running computer programs stored in the memory 62, such as the method for tracing and auditing compliance trace data provided in the first aspect of this application.

[0073] Electronic device 60 can also communicate with one or more external devices 64 (e.g., keyboard, pointing device, etc.). This communication can be performed via input / output (I / O) interface 65. Furthermore, the model-generated electronic device 60 can also communicate with one or more networks (e.g., local area network (LAN), wide area network (WAN), and / or public networks, such as the Internet) via network adapter 66. Figure 3 As shown, network adapter 66 communicates with other modules of the model-generated electronic device 60 via bus 63. It should be understood that, although not shown in the figure, other hardware and / or software modules can be used in conjunction with the model-generated electronic device 60, including but not limited to: microcode, device drivers, redundant processors, external disk drive arrays, RAID (disk array) systems, tape drives, and data backup storage systems.

[0074] It should be noted that although several units / modules or sub-units / modules of the electronic device have been mentioned in the detailed description above, this division is merely exemplary and not mandatory. In fact, according to embodiments of the present invention, the features and functions of two or more units / modules described above can be embodied in one unit / module. Conversely, the features and functions of one unit / module described above can be further divided and embodied by multiple units / modules.

[0075] Fourthly, embodiments of this application provide a computer-readable storage medium having a program stored thereon, which, when executed by a processor, implements the method for tracing and auditing compliance-based traceability data provided in the first aspect.

[0076] The readable storage medium may be more specifically adopted, including but not limited to: portable disk, hard disk, random access memory, read-only memory, erasable programmable read-only memory, optical storage device, magnetic storage device, or any suitable combination thereof.

[0077] In a possible implementation, the present invention can also be implemented as a program product comprising program code, which, when the program product is run on a terminal device, causes the terminal device to perform steps of implementing the method for tracing and auditing compliance trace data provided in the first aspect.

[0078] The program code for executing the present invention can be written in any combination of one or more programming languages. The program code can be executed entirely on the user device, partially on the user device, as a standalone software package, partially on the user device and partially on a remote device, or entirely on a remote device.

[0079] The technical features of the above embodiments can be combined in any way. For the sake of brevity, not all possible combinations of the technical features in the above embodiments are described. However, as long as there is no contradiction in the combination of these technical features, they should be considered to be within the scope of this specification.

[0080] The embodiments described above are merely illustrative of several implementation methods of this application, and while the descriptions are relatively specific and detailed, they should not be construed as limiting the scope of the invention patent. It should be noted that those skilled in the art can make various modifications and improvements without departing from the concept of this application, and these all fall within the protection scope of this application. Therefore, the protection scope of this patent application should be determined by the appended claims.

Claims

1. A method for tracing and auditing compliant audit data, characterized in that, include: Acquire multi-source communication records, receive external trigger signals, generate an initial audit task based on the trigger signals, and determine the initial audit results and preliminary audit conclusions from the communication records according to the initial audit task; A secondary audit task is created based on the initial audit result using a multi-path audit engine. The in-depth audit result and in-depth audit conclusion are determined from the communication records based on the secondary audit task. The initial audit task and the in-depth audit task are associated in a tree structure. Automatically store the operations on communication records in the initial audit task as the first trace record, and store the operations on communication records in the second audit task as the second trace record; An audit report is generated based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion.

2. The method for tracing and auditing compliant audit data according to claim 1, characterized in that, Each of the communication records includes metadata, which includes: timestamp, session ID, participant ID, and channel type.

3. The method for tracing and auditing compliant audit data according to claim 1, characterized in that, The external trigger signals are customer complaint work orders, system risk warnings, and internal spot check instructions.

4. The method for tracing and auditing compliant audit data according to claim 1, characterized in that, The automatic storage of communication record operations during the initial audit task as the first trace record includes: During the execution of the initial audit task, the query, retrieval, playback, and marking operations of target communication data related to the initial audit task, as well as the operation sequence, operation attributes, and auditor identity, are stored as the first trace data.

5. The method for tracing and auditing compliant audit data according to claim 1, characterized in that, The step of generating an audit report based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion, includes: The preliminary investigation conclusions and the communication records of the first target were determined from the first audit record; Based on the preliminary investigation conclusions and the first target communication records, determine the second target communication records and the in-depth investigation conclusions; The final audit conclusion is determined based on the second target communication records and the in-depth audit conclusion. The audit report includes the target communication records and the process of determining the aforementioned final audit conclusion.

6. A system for tracing and auditing compliance-compliant data, characterized in that, The system is used to implement the method for tracing and auditing compliant traceability data as described in any one of claims 1-5, and the system includes: Preliminary audit module: used to acquire multi-source communication records, receive external trigger signals, generate an initial audit task based on the trigger signals, and determine the initial audit results and preliminary audit conclusions from the communication records according to the initial audit task; The in-depth audit module is used to create a secondary audit task based on the initial audit result through a multi-path audit engine, and to determine the in-depth audit result and in-depth audit conclusion from the communication record according to the secondary audit task. The initial audit task and the in-depth audit task are associated in a tree structure. The audit record module is used to automatically store the operations on communication records in the initial audit task as the first record and the operations on communication records in the second audit task as the second record. Audit Result Module: Used to generate an audit report based on the first and second trace records corresponding to the associated audit tasks in the tree structure, as well as the preliminary audit conclusion and the in-depth audit conclusion.

7. A system for tracing and auditing compliance-based data according to claim 6, characterized in that, The audit result module is used to determine the preliminary audit conclusion and the first target communication record from the first trace record; Based on the preliminary investigation conclusions and the first target communication records, determine the second target communication records and the in-depth investigation conclusions; The final audit conclusion is determined based on the second target communication records and the in-depth audit conclusion. The audit report includes the target communication records and the process of determining the aforementioned final audit conclusion.

8. A system for tracing and auditing compliance-based data according to claim 6, characterized in that, The system also includes a visualization module, which is used to visually display the initial audit task and its associated in-depth audit task path in the form of a tree structure or flowchart, and to display the completion status and audit conclusion at each task node.

9. An electronic device, characterized in that, It includes a memory, a processor, and a computer program stored on the memory and executable on the processor, wherein the processor, when executing the computer program, implements a method for tracing and auditing compliance trace data as described in any one of claims 1 to 5.

10. A computer-readable storage medium having a computer program stored thereon, characterized in that, When the program is executed by the processor, it implements a method for tracing and auditing compliance trace data as described in any one of claims 1 to 5.

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