Research On The Optimization Of Brokerage Business Operation Process Of Gaopushang Securities Company

With the rapid development of information technology,different advanced management technology thoughts are available for the self-enhancement and development of the domestic securities companies from multiple levels.Facing the innovation and development of securities industry,the change of competition environment,the increasingly personalized customer demand and the rapid development of technology,securities companies are required to constantly update their products or services.The process designed based on the original product or service is no longer suitable for the new changes,so the original process should be analyzed,improved and optimized.To this end,securities companies are also promoting the change and update of the original process by using the advanced management technology and tools to respond to the call of the times and to provide better service quality for the investors.In order to adapt to the development trend of Internet technology,the securities industry has launched,in recent years,measures such as the construction of the unified account system,the Shanghai Hong Kong Stock Connect,the Shenzhen Hong Kong Stock Connect and the opening of the Sci-Tech Innovation Board.These series of securities business innovation are closely related with the construction of the securities industry information system and the promotion of the whole business process.The business innovation of securities companies is developed and improved step by step.Only in this way can the securities companies adapt to the rapidly changing securities market and provide the investors with more efficient and convenient service.Based on such industry background,Gaopushang Securities,as a small and medium-sized securities firm,also needs to adjust internal business operation process without delay,reform and innovate to adapt to the market changes.Besides,Gaopushang Securities should seize the opportunity of Internet finance,and realize this series of business innovation through systematic construction and promotion of brokerage business operation process to adapt to the development of the times and push the enterprise to a new stage.This paper firstly introduces the corresponding concepts of securities brokerage business and operation of securities brokerage business,expounds the theory of process optimization and introduces the current situation of the operation of the brokerage business of and the operation process overview of Gaopushang Securities Company;secondly,this paper summarizes the problems existing in the brokerage;business operation since the establishment of the company’s operation center in 2014 and analyzes the causes of the problems in the operation process through the internal investigation and survey as well as the interview on the management leaders and grassroots employees of the company;thirdly,this paper uses the corresponding theory and method to put forward feasible optimization strategies for the back office operation process of brokerage business of Gaopushang Securities Company,namely process improvement in organization test stage,process automation in business test stage,operation process standardization in business online stage,process centralization in online operation and maintenance stage,electronic archives in online operation and maintenance stage,etc;finally,this paper put forward some methods and suggestions for the implementation and guarantee on the optimization strategies.This paper provides reference for other securities companies with similar background on the improvement of their operation process and has a certain practical significance and value for the optimization of brokerage business operation process.