Talent Securities Compliance Risk Management System

Securities firms are financial institutions whose task is operating risk. Their basic business is managing risk. Under the current frame of economics and legislation, it is the important issue to improve the level of management and construct a new alert system of compliance risks for securities firms, by learning from the experience of foreign banks on risk management and internal control and lessons of domestic financial institutions on risk management.This paper systematically analyzes the present situation of compliance risk management system in Tianfu securities Co., Ltd, by researching on the related theory, and gets a conclusion that there are some problems on it: the defect of compliance system construction, lack of measures to guarantee the enforcement of the compliance policy, weak in compliance-checking techniques and imperfection of compliance cultures. Then the paper conducts in-depth analysis on typical compliance case. Based on the preceding analysis it clarifies the designing principles and target on the perfection of compliance risk management system, discusses main reasons for compliance risk and design the general system of compliance risk management suited for Tianfu securities co., Ltd by considering what is actually happening. By setting the compliance target, making an analysis on the identification and evaluation of compliance risk, and introducing AHP analytical method , putting risk evaluation to a model, thereby it can settle complex problems; on the basis of setting up management strategy on compliance risk, Tianfu securities Co., Ltd can improve the ability of compliance management and supervision and optimize continuously. Finally, the paper puts forward the guarantee measures of compliance risk management system, and makes a comprehensive optimizing scheme which is fit for both its own development and the external competition. By enhancing the compliance risk management, the Tianfu securities can develop rapidly.