Research On Compliance Operation Management Of Branches Of Securities Companies

Deepening the reform of the financial system is one of the key contents put forward by the 19 th National Congress of the Communist Party of China,in which the prevention of financial risks is the fundamental requirement,financial reform should be obeyed and serve the prevention of financial risks,and in order to better improve financial risks,it is necessary to strengthen financial compliance management in order to prevent problems before they occur.This also puts forward high-quality requirements for compliance management in the financial industry from the perspective of top-level design.At the same time,in March 2023,the "Party and State Institutional Reform Plan" was released,which mentioned the establishment of the State Financial Supervision and Administration Administration,strengthen the supervision of the financial industry,and ensure the high-quality development of the financial industry,which requires more and more financial industries,especially the securities industry,to strengthen compliance operations and compliance management,conduct business in strict accordance with regulatory requirements,and ensure the compliant and efficient development of financial business.Enterprise internal compliance management shoulders the main supervision and management responsibility,is the smallest unit of financial supervision,more and more enterprises begin to pay attention to compliance management and establish compliance systems and departments for supervision,but are concentrated in large and medium-sized financial units,for small and medium-sized enterprises still lack relevant compliance management systems and professional management personnel to manage.At present,the state and society are paying more and more attention to the compliance management of securities companies,and it has also become the focus of supervision,and compliance operation and financial risk prevention have become one of the core contents of most securities firms.However,small and medium-sized securities companies still have chaotic or even lack of compliance management.Therefore,this paper focuses on the compliance operation of small and medium-sized securities firms,evaluates the compliance management effect of HF Securities branches by selecting analytic hierarchy method,and identifies the factors affecting the compliance effect,and then puts forward feasible suggestions for improving the compliance operation management effect.Firstly,at the theoretical level,the relevant theories of compliance management are reviewed,the research literature at home and abroad is sorted out,and the research and development of compliance management are sorted out,and on this basis,the research ideas are clarified.Secondly,the analytic hierarchy method is used to construct the evaluation model of compliance management effect of securities companies,from the construction of index system to consistency test to the weight calculation of indicators at all levels,which provides a combination of qualitative and quantitative methods for small and medium-sized securities companies to evaluate the effect of compliance management.Furthermore,HF Securities branches were selected as case objects,and the compliance management effects of HF Securities branches were calculated and evaluated by expert scoring method and analytic hierarchy method,and there were problems in four aspects:compliance control,compliance publicity and culture construction,compliance self-inspection and risk monitoring,compliance assessment and compliance reporting,and further refined to secondary indicators to seek their specific problems.Finally,according to the results of the analytic hierarchy,effective improvement measures are proposed for the problems existing in HF Securities branches.