2022 work summary, securities manager, reporting model essay (I). In the past year, he was in a state of tension and busyness almost every day. First, at the beginning of the year, due to the impact of the economic crisis, many customers adopted a conservative wait-and-see attitude. They need to adjust the allocation of investment products, choose matching investment products, re-analyze and make plans, and try to choose more conservative varieties, such as money funds and bonds. Then around the Spring Festival, the macro economy showed signs of recovery, and some customers who used to operate frequently could not help it. They should continue to operate stocks and warrants in the short term. After a comprehensive analysis of the market, they compared various stocks and securities. It is suggested that these customers can choose some listed companies in defensive industries or resources and avoid high-risk varieties of warrants as much as possible. For conservative customers, it is also suggested that we can try to invest in the secondary market of etf products appropriately, and grasp the rising range of the market under the premise of ensuring the safety of funds, and the income is relatively stable. The work during this period is both heavy and hard. It is necessary to refer to a large number of materials and data, study repeatedly, patiently introduce the characteristics of each variety, draw the reasons for the conclusion, and the simple skills and precautions of some varieties in operation, and communicate with customers at any time to exchange views on the market. Then there is the GEM listing. Being in the securities industry, the work during this period is very tense and heavy, which also makes me fall into contradiction again.
After the GEM was opened, the company issued the task indicators and took many measures to contact and inform customers. I studied the information of GEM markets in various countries, especially participated in continuing education activities for licensees in Tianjin. After listening to the teacher's analysis of venture capital and GEM market, I found that most customers were very unsuitable to invest in GEM market, so I made an in-depth analysis of the GEM stock information of the previous wholesale banks and conveyed it to customers in time. In the fourth quarter, market inflation expectations intensified, and the market gradually showed signs of weakness. However, individual stocks are still active, new customers are still operating in Man Cang, and positions are adjusted in time. Once the market is adjusted, there will be great risks. Customers are advised to control their positions, keep a large proportion of account funds and wait for the opportunity. These behaviors include a lot of consulting materials, analyzing and comparing, thinking and summarizing, and communicating. How can you be "busy"?
Working in the securities industry for more than ten years and cfp qualification for more than two years, I gradually realized the truth that many teachers and predecessors often regret:
Modesty: Only by maintaining a modest attitude can we learn more and keep our knowledge and ideas "new".
Stiffness: We should carefully study and analyze all kinds of products and markets, and learn more about different customers, so as to provide them with more suitable investment advice.
Tong Yuan: Facing the tasks of the company and the interests of customers, we should treat them positively, and we can't escape or shirk. We should try our best to use our knowledge and experience to find a balance between them. As long as we are willing to spend time, we can achieve "win-win".
Sincerity: In any case, only by sincerely thinking about the customer and standing from the customer's point of view, the investment plan made is truly suitable for the customer, and it is also the most acceptable and recognized by the customer.
I have been working with this attitude for a long time, and because of this, I have become close friends with many customers. This year's market changes are more abundant. I am glad that I participated in the training and study of financial planners a few years ago and got some earlier understanding of the international financial market. I have been fully used in the analysis and planning, and have been very recognized and recognized by customers, making them very satisfied with the investment results in the past year. Our friendship has deepened and I have more trust.
2022 work summary, securities manager, reporting model essay (part two). 20xx is my fourth year working in the information technology department of a securities company, and my department is the core department of a securities company. Everything I say and do represents the image of the company. You can't be sloppy in your work. A small mistake can have disastrous consequences. As we all know, the information technology department of the securities company is one of the busiest departments, and my post can't be a little leisure. Every time the new system is put into production and built, I have made new discoveries and new progress every time! During my work in the information technology department, I feel that I am making progress every day! Besides routine maintenance, there are some other tasks to deal with.
Therefore, in such a working environment, it forces me to constantly remind myself to be serious in my work and to operate in strict accordance with the company's rules and regulations. I always ask myself one time a year. With the concerted efforts of all the staff in my department, Qi Xin, I personally did not have a liability accident in X years. When dealing with business skills, I have a requirement in my heart: three people must have my teacher, and we must do everything possible to understand what we can't learn and don't understand, and strive to be a qualified technician in the securities industry in the new era. Let me make a brief summary of what I have done in the past year.
1. Construction of Hang Seng Internal Control Platform and Data Center System
According to the requirements of China Securities Regulatory Commission and Shanghai Stock Exchange, securities companies must establish a net capital reporting system, an abnormal trading monitoring system and a non-reduction monitoring system. Because the original independent depository system of our company was developed by Fujian Xinyi Company, and the database platform was based on SQL SERVER20xx, while Xinyi Company's net capital declaration system, abnormal transaction monitoring system and non-reduction monitoring system were all based on the database TERADATA, so the investment in the database would increase a lot of expenses, and the software and hardware costs were more than one million yuan, which was not ideal in terms of system stability and operability. Later, I consulted the system of kingstar company, and the cost was more than one million. Compared with our original innovative independent depository system, it increases the cost of repeated investment. Combined with the actual operation of the company, we have made in-depth discussion and consideration on the selection of developers and prices. Hang Seng Company is willing to transplant our original independent depository system and anti-money laundering system unconditionally, and the quotation is based on fully protecting the original system, and there is a special maintenance team with strong strength. Starting from the actual business situation of the company, the internal control platform and data center system of Hang Seng Company with appropriate price are finally selected.
2. Later maintenance of Hang Seng internal control platform and construction of data center system.
During more than three months of intense construction and testing, the anti-money laundering monitoring and reporting system, internal control platform, net capital monitoring system, abnormal trading and non-reduction monitoring system of our securities company were successfully completed, and the original independent depository system of Xinyi was taken over normally. From the discussion of system requirements to preparation and formal online operation, it has been strongly supported by company leaders and members of various project teams, so it has been smooth in the construction and testing process. In the later maintenance, it is mainly aimed at solving some new requirements and the new report submission requirements of the CSRC. At present, engineers from Hang Seng Company are working in our company, and it is estimated that all solutions will be completed by the end of this month.
3. Construction and later maintenance of the three-party depository system
"Brokers trust securities and banks supervise funds" is the general idea of three-party depository, aiming at fully protecting investors, making funds safer and investors more at ease.
From the proposal of three-party depository to the construction and official launch, our department is at the forefront. All the employees in our department are quietly working hard for the learning and development of this new business, from contacting communication lines and banks to testing and officially launching. Thanks to the joint efforts of all employees, China Bank and Industrial Bank were newly launched this year. At present, the quasi-production test of China Merchants Bank has been completed and is now in the actual measurement stage. It is estimated that it will be officially put into operation early next year.
4. The company's net capital monitoring system added report submission rules.
According to the requirements of the CSRC, securities companies need to implement the new reporting rules and formally submit them on X, X, X, and since the net capital monitoring system that our company has put into operation is still an old report, we need to contact Hang Seng Company to upgrade the original net capital system to meet the requirements of the CSRC for submitting new reports. After understanding the company's needs, we contacted Hang Seng Company about the upgrade, and it is progressing smoothly. At present, the engineers of Hang Seng Company are solving the problem on the spot and can formally submit a new report.
5. Summarize the common problems and solutions of the production company's three-party depository system, transplant the original brokerage marketing system, and cooperate with the central computer room to add four online trading AS and AR.
6. Replace the B-share foreign currency transfer clearing machine, quotation distribution system machine and consultation receiving and forwarding machine in the central computer room.
7. Upgrade the new account opening certificates of each business department and service department, contact and upgrade the authorization of the three-party depository license and related systems, and solve the problem that the fund depository cannot be repeatedly exported to the finance department.
8. Summarize the common problems and solutions of online trading system that can't log in to the market and entrust, and make the scoring table of the company's risk control system. Because all branches of the company need to upload image scanning materials and burn CDs in the clearing center, FTP users and network connection configurations have been opened. Make emergency plans and equipment labels for the central computer room system and post them.
9. Cooperate with the company's computer room renovation project, clean the warehouse and clean the machine.
10. Cooperate with Hang Seng Engineer to upgrade the quotation system of the central computer room to reduce the quotation risk and pressure, cooperate with Hang Seng Engineer to upgrade the version and interface of the three-party depository system, cooperate with Hang Seng Engineer to upgrade the structure of the company's OIW quotation library, and cooperate with Hang Seng Company to evaluate our company's information system.
1 1. Cooperate with Compliance Management Department and People's Bank of China to submit and verify our company's anti-money laundering data, and cooperate with Compliance Management Department to submit anti-money laundering data. Cooperate with the computer room of Guizhou Securities Regulatory Bureau to prepare some documents.
12, installing open-end fund system, testing and clearing, sending mail data and other matters, and cooperating with the North-South Sales Department to switch NOVELL system and network isolation.
13. After the original seats of Hantang and Huachuang were merged, the quotation was tested in a unified way. Cooperate with Beijing Road Sales Department, Xinhua Road Sales Department and ICBC's service departments to launch online storage in batches.
14. Cooperate with the system construction of Deyang Disaster Recovery Center, and formulate the emergency switching plan.
15. Cooperate with company accounting standardization.
16, daily maintenance and inspection of computer room, log filling, data backup, duty, etc.
I am eager to learn new knowledge and keep exploring. Every time the company develops new business and organizes activities. I will be the first to stand up. No matter how long I work overtime, I never complain. Because I know that I still have a lot to learn and improve. I will also actively make good use of every opportunity to learn new business, do a good job in testing all new business, and do not delay the work of the whole department. Under this idea, I successfully completed every task assigned by the department leaders.
At the same time, there are some shortcomings.
1. The securities business has not been fully understood.
2. Network knowledge and practical ability need to be strengthened.
3. During maintenance or project implementation, the efforts to summarize and document key issues are insufficient. Only in this way can we enjoy it more conveniently, reduce unnecessary duplication of work and improve the work efficiency of the department.
4, in the future work and study to constantly learn new business, new knowledge, so that knowledge is constantly updated. improvement measures
1, usually pay attention to the accumulation of knowledge and skills, study hard, practice while learning, and keep growing.
2, strengthen the study of network and database, have the opportunity to participate in relevant training.
3. Be good at summing up at work, pay attention to sorting out typical and key issues and form documents. It is hoped that the department will strengthen exchanges and supervision in this regard.
4. Actively strive for opportunities for new business engineering testing and implementation, and learn from practice.
5. Strengthen communication with various business departments and service departments.
X-year work arrangement
1, cooperate with the company's open-end fund system construction, testing and online.
2. Cooperate with the firm of China Merchants Bank to test and officially go online.
3. Maintenance and related upgrade of anti-money laundering monitoring system, net capital monitoring system, abnormal trading and non-reduction monitoring system and internal control system.
4. After the service department is upgraded to the sales department, the related backup work of the financial system will be increased, and the related maintenance work after the financial login website will be increased.
5. Maintenance and related upgrade of counter system and three-party depository system.
6. Cooperate with the network reconstruction project and network management of the company's central computer room.
7. Strengthen the study of 06 trading counter related systems and Oracle database.
In the new year, I set myself a new goal, that is, to step up my study, better enrich myself and meet the challenges of the new period with full mental state. There are still opportunities and competitions waiting for me next year, and I am secretly encouraging myself. Stand firm in the competition. Down-to-earth, our eyes should not be confined to the small circle around us, but should focus on the overall situation and future development. I will also learn from other excellent colleagues, learn from each other's strong points, exchange good work experience with each other and make progress together. Strive for better work performance.
2022 work summary, securities manager, reporting model essay (Chapter III). Looking back on the past 20 years, I have been edified by securities companies since February. Looking back on this year's work, I constantly strengthened my study, quickly changed my role, actively integrated into the company environment, and actively implemented all the work arranged by the leaders. Although there is still a big gap compared with the old comrades in their work, their understanding of the securities industry has improved and their operational level has improved. The work of the past year is summarized as follows:
First, strengthen study and improve quality.
Since I entered the company, I have deeply realized that my knowledge level and comprehensive quality still have many shortcomings, especially I failed to pass the examination for securities practitioners. I must further strengthen my study and improve my comprehensive quality. I have never forgotten to study hard for a year. First, strengthen the study of political theory. Over the past six months, I have persisted in theoretical study with all employees of the company, learned about national policies, laws and regulations and the spirit of relevant documents, and constantly improved and improved my theoretical literacy. Second, strengthen business learning. In addition to participating in the training organized by the company, I also used my spare time to learn books about the relevant business knowledge of the securities industry, recharge my knowledge in time, and improve my knowledge application ability. Third, strengthen self-cultivation learning. In daily life, I keep in mind the profound truth that "details determine success or failure". I always learn how to deal with people from leaders and colleagues, constantly improve my moral cultivation level, and strive to learn from details, start from details, start from small things, step by step, accumulate knowledge in dribs and drabs of work, improve my quality and do my job well.
Second, be proactive and work hard.
Since I joined the company, I have been actively learning and adapting. According to the arrangement of the company, I handled business and opened an account at the counter from July to June 5438+February, but I didn't get the securities qualification certificate until June 5438+065438+ 10 because I was busy or didn't study enough. The completion of the fund task is not ideal, and the funds for opening an account for several months are not in place. Up to now, 25 accounts have been opened, and the total assets of customers are 1.8 million. While the leader arranges other work, I also organize the company files with you, and put the daily business and new account opening materials in the account book and keep them in the files. Now I am doing counter assistance, copying, scanning and so on.
Third, face up to the problem and continue to work hard.
Through nearly a year's study, I have a deeper understanding of the securities business, and with the help of company leaders and colleagues, my business level and comprehensive quality have also been improved to a certain extent. At the same time, I also realize that I still have many shortcomings and problems:
First, strengthening study is not enough. I passed the securities qualification examination in June 1 1, which shows that my business study is not enough and needs to be strengthened.
Second, the business level is not enough. Since I entered the company not long ago, although my business level has improved, my capital task and account opening task are not satisfactory and need to be greatly improved.
In the future work, I will continue to strengthen my study, learn from books, leaders and colleagues, improve my overall quality, actively participate in the company's work, work hard, and strive to become an excellent securities practitioner as soon as possible.
2022 work summary, securities manager, reporting model essay (Chapter IV). First of all, I think securities is a stressful job, especially for a new group of social youth who just graduated, live in a foreign land and have never experienced life. As an account manager, I think it is very important to develop and maintain customers. In today's market, it is really more difficult to develop a new customer. In the first month, through my own efforts, time was tight and the task was heavy. I tried my best to overcome many difficulties and let my maid have a good start!
Secondly, in terms of maintaining customers, firstly, we often explain some stock technical methods to them; secondly, we try our best to answer their questions; thirdly, we provide family services, make friends with them seriously and learn some knowledge from them.
In the meantime, I also found that it is not easy to develop customers, and it is even more difficult to maintain customers. At present, there are many securities companies with great competitive pressure. If you are not careful, customers may move to other companies, so it is very important to establish a good relationship with customers. I am also constantly learning and learning new knowledge to enrich myself, because knowledge will never bear market, so as to gain the recognition and acceptance of customers!
Now I gradually like the securities industry, although there are pressures and difficulties, but everything is artificial, I am not afraid, pressure will form a driving force! Account manager is a long-term job, what is needed is enough patience and serious and frank communication with customers. I believe I can! My work and passion are in action!
In a word, my career plan and goal in the first half of the year are: according to the company's regulations, develop enough customers, accumulate certain assets, and complete the requirements of becoming a regular employee!
Summary of annual work, securities manager in 2022 (Chapter 5) First of all, I want to thank the company for providing me with a good learning environment, which made me have a deeper and clearer understanding of the securities market. Secondly, I would like to thank all my colleagues who have helped us with our work. In this year's work, we not only made great progress in concept, but also improved the quality of customer service and the counter image of the sales department in the past six months. The work in the past six months is summarized as follows:
The first is to enhance the overall image of the counter of the business department.
Based on the principle of unified image, unified management and unified construction, our counter not only adheres to the company's requirements in decoration and dress gfd, but also greatly improves the service quality of existing customers, and the business process is more reasonable, effective and standardized. At present, the lobby manager is responsible for receiving customers' business, filling in business forms and leading them to the counter for one-on-one service. The electronic file scanning of business data has been carried out. At present, the system has extracted the scanned securities account from the headquarters and sent it to the registered company, so there is a higher requirement for the scanning quality. Moreover, it is necessary to keep the customer's image data and read the ID card information when handling business, which also allows customers to have a better understanding and trust in the sales department.
Two. Exchange emergency drills and over-the-counter business system Hang Seng 2 and 0 tests.
In the first half of the year, our company participated in two emergency drills and tests issued by the exchange, both of which were conducted on Saturday. When the signal is interrupted, how to switch to the server in the disaster recovery room in the shortest time, how to report the risk control, how to appease and explain the on-site customers, etc. , have been well tested and studied, so that the trading system of the sales department can operate normally and prevent problems before they happen.
In the first half of the year, our company organized many times to upgrade and test the Hang Seng 2,0 account system, mainly including the upgrade and revision of joint account opening, GEM business and electronic certificate scanning business. Now basically all services can be realized by 2,0 system. During the test, we conducted the test in the form of off-duty and overtime on weekends. Because a control of the system is linked to multiple menus, each business menu should be tested every time, including personal and institutional accounts, and problems should be recorded in time. We focused on some new contents, such as increasing the issuing authority, contact information and contact frequency of customers, modifying the setting of customers' anti-money laundering risk level, and finally completing various tests with headquarters.
Third, check and sort out customer information centrally.
This work has been going on for a long time. It took us two months to implement the spirit of the Notice of China Securities Regulatory Commission on Strengthening the Daily Supervision of Securities Companies' Accounts and the Notice of China Securities Depository and Clearing Co., Ltd. on Further Strengthening the Daily Management of Securities Accounts, and to implement that "securities companies should regularly check and update the investor account information registered in their counter systems and registration and settlement systems, work overtime, check the retained data of more than 30,000 customers and make electronic documents, and identify customers, such as no negative films, missing ID cards and expired ID cards. Finally, the data check of all customers was completed, and a table was made, which provided13,000 individual customers to call customer service personnel to supplement and update the data. For institutional customers before 65438+February 3 1 and _ _ _ _ _, record the annual inspection of the copy of the retention certificate, the confirmation letter and the retention of various business documents, and make forms for customer service personnel for communication.
Four. Promotion evaluation of employees in operation line
Every quarter, the company will evaluate the promotion of employees in the operation line. I participated in the first evaluation examination this year, including account business, third-party depository business, block trading, transfer of restricted shares, assistance in judicial execution, funds, GEM, ib business, anti-money laundering and the New Third Board. Because of the wide coverage and tight preparation time, the strength of the team has been demonstrated again, and we should pay close attention to it on the basis of not forgetting our daily business. In the future promotion assessment, I will, as always, seriously consolidate various businesses, lay a solid foundation, actively expand my talents, and strive to be promoted to a third-level employee again.
In the next _ _ _ year, in the face of many difficulties such as the stock market downturn in the first half of the year, the heavy workload of centralized checking of account information, and the obstruction of fund marketing, all our employees have made some achievements with the concerted efforts of Qi Xin, but I am also aware of my own shortcomings. I also failed to complete the marketing task of Jin Ruyi No.3 Middle School. I hope I can keep up with the development of the company in the second half of the year, continue to improve my daily work, improve the quality of customer service and establish a good reputation.