Research On The Optimization Of Compliance Management In Yunnan Branch Of GZ Securities

With the gradual development of financial globalization,securities companies have an unprecedented opportunity,customers are more diversified,business reach a wider range,and the ability to generate revenue quickly improved.However,the securities industry and all other financial industries,there is a return and risk of the relationship between the game.Therefore,the vigorous development of the industry is bound to be accompanied by huge risks and challenges,and one of the most important sources affecting the quality and efficiency of development is internal compliance management.In recent years,the compliance management of securities companies has achieved good results,major financial risk events have been effectively controlled,but illegal and irregular events such as client financing,insider trading and employee trading still emerge one after another,face supervision and punishment to the internal,external face the loss of credibility.How to give consideration to both the rapid development of the company's business and effective compliance manage-ment has become a common problem faced by securities companies.Firstly,this paper expounds the relevant theories of the securities company,including the risk management theory and the internal control theory.Secondly,this paper analyzes and introduces the status quo of compliance management of Gz Securities Yunnan branch in terms of post allocation and post responsibility requirements,compliance management status quo,compliance management system formulation,compliance culture construction,etc.According to the status quo of compliance management of GZ Securities Yunnan branch,this paper puts forward the main problems existing in compliance management of Yunnan branch,including dealing with the lack of subjective initiative compliance,compliance commissioner lack of professional capacity,practitioners compliance awareness is weak,accountability has not been implemented.Finally,by analyzing the causes of the problems,four measures of compliance management optimizat ion and related support and safeguard measures are put forward,which can effectively improve the compliance management ability of the branch and reducet he probability of compliance risk events,help Gz Securities Yunnan branch in the system,organization and culture to build an independent,structured compliance management system.