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论文编号：	15618
作者编号：	2320234135
上传时间：	2025/12/8 14:40:49
中文题目：	Z证券公司吉林分公司经纪业务运营管理优化研究
英文题目：	Research on the Optimization of Brokerage Business Operation Management of Jilin Branch of Z Securities Company
指导老师：	卿志琼
中文关键字：	经纪业务；证券公司；运营管理
英文关键字：	Brokerage business; Securities company; Operation management
中文摘要：	在当前证券市场中，同质化问题导致证券公司缺乏差异化，这使得头部证 券公司优势愈发明显，营收和利润集中度不断提高。证券公司的经纪业务如同 纽带般维系着证券公司与众多投资者之间的关系，是其所有业务中最为基础的 部分，经纪业务的运营管理水平直接影响着证券公司的竞争力和盈利能力。通过研究Z证券公司吉林分公司于经纪业务运营管理方面的欠缺，对其起因追根溯源并提出了合理优化建议，以此提升Z证券公司吉林分公司经纪业务的运营管理水平。 本文以Z证券公司吉林分公司经纪业务为研究对象，研究其运营管理问题，并结合运营管理等相关理论，提出解决方案，以有效提高运营管理水平。首先，本文梳理了学者们对经纪业务及其运营管理的研究现状，提出了本论文研究的主要内容，并对证券经纪业务运营管理和集中运营的相关概念与理论进行了阐述；其次，对Z证券公司吉林分公司及其经纪业务运营管理现状展开详细阐述，此外。本文采取深度访谈法与问卷调查法的形式，对Z证券公司吉林分公司经纪业务运营管理存在的问题进行梳理与总结，例如运营管理难度大、成本压力重、系统更新换代速度慢、效率低等。同时，指出这些问题产生的原因是业务流程繁琐、运营管理碎片化、职责划分不合理、数智化建设不明显；最后，针对问题和原因分析，提出了Z证券公司吉林分公司经纪业务运营管理的优化建议，包括“开户 - 审核 - 管理”三维落地方案、“系统 - 业务 - 服务”三维实操方案、“流程 - 风控 - 人员”三阶执行方案、“数据- 中台 - 机器人”三模块实操方案。在此基础上提出Z证券公司吉林分公司经纪业务运营管理优化策略实施与保障，其中优化策略的实施包括实施过程与实施关键点，实施保障包括组织保障、制度保障、技术保障、人力保障。 论文把运营管理理论和相关理论应用到Z公司经纪业务中，具有一定的应用创新价值。论文所研究的问题在业内具有普遍性，希望通过提升经纪业务的运营管理水平，为Z证券公司吉林分公司有望在竞争激烈的市场中脱颖而出，并为其它同类企业提供借鉴与参考。
英文摘要：	In the current securities market, the problem of homogenization has led to a lack of differentiation among securities companies, which has made the advantages of leading securities companies increasingly prominent and the concentration of revenue and profits continuously rising. The brokerage business of a securities company is like a bond that maintains the relationship between the company and numerous investors. It is the most fundamental part of all its businesses. The operation and management level of the brokerage business directly affects the competitiveness and profitability of the securities company. By studying the problems existing in the operation and management of brokerage business of Jilin Branch of Z Securities Company, analyzing the causes of the problems, and putting forward reasonable optimization suggestions, the operation and management level of brokerage business of Jilin Branch of Z Securities Company can be improved. This thesis takes the brokerage business of Jilin Branch of Z Securities Company as the research object, studies its operation and management issues, and combines relevant theories of operation and management to propose solutions in order to effectively improve the level of operation and management. Firstly, this thesis reviews the current research status of scholars on brokerage business and its operation management, presents the main contents of this thesis research, and elaborates on the relevant concepts and theories of the operation management and centralized operation of securities brokerage business. Secondly, a detailed elaboration will be provided on the current operation and management status of the Jilin Branch of Z Securities Company and its brokerage business. In addition. This article adopts the forms of in-depth interviews and questionnaire surveys to sort out and summarize the problems existing in the operation and management of the brokerage business of Jilin Branch of Z Securities Company, such as the high difficulty of operation and management, heavy cost pressure, slow speed of system update and replacement, and low efficiency. At the same time, it is pointed out that the causes of these problems are cumbersome business processes, fragmented operation and management, unreasonable division of responsibilities, and the lack of obvious digital and intelligent construction. Finally, based on the analysis of problems and causes, optimization suggestions for the operation and management of brokerage business of Jilin Branch of Z Securities Company were put forward. It includes a three-dimensional implementation plan of "account opening - review - management", a three-dimensional practical operation plan of "system - business - service", a three-stage execution plan of "process - risk control - personnel", and a three-module practical operation plan of "data - middle platform - robot". Based on this, the implementation and guarantee of the optimization strategy for the operation and management of brokerage business of Jilin Branch of Z Securities Company are proposed. The implementation of the optimization strategy includes the implementation process and key points, and the implementation guarantee includes organizational guarantee, institutional guarantee, technical guarantee and human resource guarantee. The thesis applies the operation management theory and related theories to the brokerage business of Company Z, which has certain application and innovation value. The issues studied in this paper are universal in the industry. It is hoped that by improving the operation and management level of brokerage business, the Jilin Branch of Z Securities Company can stand out in the highly competitive market and provide reference for other similar enterprises.
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