Research On Brokerage Services Operational Risk Management Of S Securities Company

The current rapid development of the economy,the world economic situation has a different impact on each company sector,and various risks are gradually revealed,in which case it is very important to prevent risks and take appropriate measures to control various risks.In the process of securities company’s operation,the risk management department needs to use other risk management tools to reduce the risk to the extent they can and are willing to bear,so as to achieve its normal operation and avoid unnecessary losses.From the overall situation of brokerage firms,more than one securities firm has been penalized for risk events,and operational risk is also a risk that companies can easily ignore,resulting in huge amounts and reputational losses.Operational risk has become a common risk category in China’s securities companies,and now China’s securities companies have gradually focused on supervision.Among the many businesses of securities companies,brokerage business is the scenario where the company has the most contact with customers.In order to comply with the financial securities market more quickly,in a complex and changing environment,under the vigorous development of the financial Internet,corresponding changes have been made in many aspects,and more and more operational risks have become more difficult to identify.When securities companies carry out innovative business,although it will increase some new ways of profitability,but at the same time it may also lead to the increase of its operational risk,and its operational risk in the new business and operation there are a lot of difficult to find the risk,in the original ordinary trading based on the increase of many over-the-counter transactions and other types of products,its trading methods compared to the ordinary stock is more tricky,the securities companies brought a greater risk.This poses a greater challenge to securities firms.In this situation,how to improve the level of operational risk management of the securities company is a key consideration for the company’s department managers,as the level of risk management affects the competitive and credit advantages,and the strength of risk management ability is also a reflection of the strength of the securities company.This paper proposes strategies for risk management in the operational process by exploring the brokerage business of S Securities Company as an object.The operational risk of S securities company is analyzed so as to form a guarantee for the brokerage business of the securities company.Mastering operational risk from internal sources is of great relevance to our operational risk management,and securities companies are already an important part of the financial brokerage-related system that has penetrated many areas of the financial market.So designing a more scientific approach to operational risk management plays an important role in the subsequent financial development.