Research On The Improvement Of Internal Control Management Of HM Securities Business Department

With the gradual improvement of China's financial system,the securities industry has shown a rapid development trend,but in the process of its development,due to the vague understanding of internal control,some securities companies have not formed scientific,reasonable and effective system and mechanism constraints within the company,the internal mechanism of the enterprise is not perfect,and the cases of serious risk out of control occur frequently.Securities companies should operate prudently,strengthen internal constraints,strengthen internal control,and establish a stable and efficient operation system.In the increasingly competitive environment of China's securities industry,any securities company must establish a perfect internal control management mechanism as a guarantee if it wants to occupy the competitive advantage and achieve the goal of enterprise profit.This paper mainly uses the methods of questionnaire,case analysis and COSO internal control system analysis to study and analyze the internal control management problems of HM securities business department,and put forward corresponding improvement countermeasures,so as to provide internal control management basis for comprehensively improving the internal control management level and core competitiveness of HM securities business department.First of all,this paper summarizes the background,significance,research status at home and abroad,relevant concepts and theories of compliance management of securities business department.Then,it analyzes the current situation,existing problems and reasons of internal control management of HM securities business department,and puts forward the improvement scheme of HM correct internal control management of business department from the perspective of comprehensive risk management and COSO internal control system framework.The research results show that there are many problems in the internal control management of HM securities business department,such as weak internal control management environment,imperfect risk identification and evaluation mechanism of internalcontrol management,lack of pertinence of internal control activities,untimely information communication and feedback,weak supervision and management,which are related to the weak awareness of internal control management of HM securities business department,imperfect internal control organization and management,internal control lack of professional human resources and the lagging construction of internal control management culture.To solve the outstanding problems existing in the internal control management of HM securities business department,we should focus on optimizing the internal control management environment of the enterprise,building a perfect risk assessment management mechanism,designing scientific and effective control activities,improving the information and communication management mechanism,and strengthening the internal supervision and management of the business department take corresponding measures,and formulate relevant guarantee measures for the implementation of the plan from the aspects of organization,technology,talents and culture.The results of this study have a certain reference value for improving the quality and level of internal control management of HM securities business department.