MBA教育中心知识库

摘 要

近年来，随着我国金融技术和关键信息技术的不断深化，我国很多的证券公司正在开展基于新媒体技术的证券管理工作。特别是随着我国银保监会不断加强对于各大券商的监管力度，这就进一步推动了在我国金融市场中的券商的竞争激烈程度。目前，我国有较多的新兴的中小型券商不仅通过大力的推进经纪业务向财富管理转型，同时也在自身的投顾部门中不断地开展以技术创新、管理创新、流程创新和商业模式创新为核心的创新工作。

本文在对研究背景、研究意义、国内外研究现状、研究内容和研究方法进行全面介绍的基础上，对华龙证券经纪业务投顾部门运营现状分析。从投顾部门客户及资产托管情况、人力资源情况、组织架构情况、营业收入构成情况四个维度对华龙证券基本情况进行介绍。重点针对华龙证券经纪业务向财富管理转型中的投顾部门运营过程中所存在的一系列问题进行全方位的分析。而后，分析华龙证券经纪业务投顾部门运营问题及成因。采用问卷调研法重点面向华龙证券经纪业务投顾部门业务人员和投顾部门客户进行问卷调研，结合问卷调研数据来针对性的挖掘提炼华龙证券经纪业务投顾部门运营所存在的核心问题及关键成因。最后，提出华龙证券经纪业务投顾部门运营模式策略。重点从提高投资顾问部门定位的针对性、降低投顾部门客户流失率、科学应对投顾部门产品同质化问题、借助智能化平台提高投顾服务专业化程度、提高客户对业务的认可度五个方面针对性的提出可提高华龙证券经纪业务投顾部门运营针对性与实效性的可行策略。

Abstract

In recent years, with the deepening of financial technology and key information technology in China, many securities companies in China are carrying out securities management based on new media technology. Especially as China's Banking and Insurance Regulatory Commission continues to strengthen the supervision of major securities firms, which further promotes the fierce competition among securities firms in China's financial market. At present, there are many emerging small and medium-sized securities firms in China not only through vigorously promoting the brokerage business to wealth management transformation, but also in their own investment advisory departments continue to carry out innovation with technological innovation, management innovation, process innovation and business model innovation as the core.

Based on a comprehensive introduction of research background, research significance, research status at home and abroad, research content and research methods, this paper analyzes the operating status of investment advisory department of China Dragon Securities Brokerage business. This paper introduces the basic situation of China Dragon Securities from four dimensions: clients and assets custody, human resources, organizational structure and operating income composition of investment advisory department. The focus is on a comprehensive analysis of a series of problems existing in the operation process of investment advisory department in the transformation of China Dragon Securities brokerage business to wealth management. The questionnaire survey method is adopted to focus on the business personnel and customers of the investment advisory department of China Dragon Securities Brokerage business. Combined with the questionnaire survey data, the core problems and key causes of the operation of the investment advisory department of China Dragon Securities brokerage business are extracted. The focus is to improve the pertinence of the positioning of the investment advisory department, reduce the customer loss rate of the investment advisory department, scientifically deal with the product homogeneity of the investment advisory department, improve the professionalism of the investment advisory service with the help of intelligent platform, and improve the customer recognition of the business. These five aspects of targeted proposed to improve the operation of China Dragon securities brokerage business investment advisory department targeted and effective feasible strategies.