The general manager's office (responsible for the operation of the securities business department) consists of several departments: marketing department, trading department, information consulting department, computer department, finance department and comprehensive department.
(B) the management functions of various departments
1, the main management function of the marketing department
The marketing department mainly accepts customers' account opening, account transfer, account cancellation and designated transactions; Cultivate the market where the business department is located and organize the construction of the securities broker system; Cooperate with the company to promote and plan the local market; Responsible for the external liaison and public relations of the sales department; Establish customer files by classification, regularly provide analysis reports on the operating conditions of customers in the sales department and provide feasible countermeasures; Accept customer complaints, and regularly collect and sort out customer opinions and feedback; Responsible for evaluating the work of securities brokers outside the system; Guide securities brokers to do a good job in the overall market development of the company; Focus on developing large institutions and online trading customers; Submit a written local market analysis report to the sales manager and company leaders regularly, and provide corresponding countermeasures and suggestions.
2. The main management functions of the trading department
The trading department mainly accepts the entrustment of customers and acts as an agent for securities trading; Provide information consulting services for customers and guide customers to trade rationally; Assist clients and securities brokers to control trading risks; Responsible for the daily management of securities brokers and coordinate brokers to do their jobs well; Organize daily meetings and market seminars; Organize and coordinate securities brokers to assist the company to carry out online consultation for remote online transactions; Organize and guide securities brokers to carry out entrusted wealth management business; Pay attention to the secondary development of customer resources in sales department; Responsible for on-the-job training of brokers, and constantly improve their business level; Establish broker business files and be responsible for the assessment of their daily work; Responsible for other services related to securities trading.
3. The main management functions of the information consulting department
The information consulting department is mainly responsible for the collection, collation and timely delivery of all kinds of information; Responsible for collecting and sorting out the local securities market information and publishing it inside and outside the company in an appropriate way; Responsible for information contact and feedback with the research department of the company; Responsible for the business innovation research of sales department; Responsible for the development of local investment banking business under the guidance of the company's investment banking headquarters, and maintain business contact with local listed companies; Responsible for the investigation of local listed companies, and cooperate with the R&D center to provide necessary open market reports; Assist the trading department to train securities brokers in business knowledge; Responsible for organizing the securities broker system to carry out business consultation and related training on customer securities knowledge.
4, the main management functions of the computer department
The computer department is mainly responsible for updating, maintaining and maintaining the quotation system and various hardware facilities; Responsible for the risk monitoring of online trading customers in the business department; Responsible for the statistical work of securities brokers' market transaction records; Responsible for the training of computer business level of securities brokers.
5, the main management functions of the finance department
The finance department is mainly responsible for the deposit, withdrawal and carry-over of customers' deposits; Responsible for the daily position clearing, delivery and fund management of the business department; Responsible for the daily monitoring of the system risk of the sales department; Responsible for brokerage commission accounting and corresponding performance statistics; Responsible for the daily financial management of the sales department.
6. The main management functions of the General Department
The General Department is mainly responsible for the personnel, administration, logistics management and safety of the Division.
The securities business department refers to the institution established by a securities company to engage in securities brokerage business, and the securities company shall bear civil liability for the business activities of its securities business department. As a window for securities companies to serve the outside world, the management of securities business department is directly related to the reputation and image of securities companies.
Functional services of securities business department
Since the establishment of the first securities business department in China, no matter the size of securities companies, the operation modes of securities business departments are similar. At present, the securities business departments of securities companies mainly have the following two types of service functions:
(1) The function of a trading agent is to provide securities investors with access to the market, including making inquiries, quotations and completing transactions on behalf of investors. This is the basic function and foundation of the securities business department;
(2) The function of providing securities information. It can be divided into three aspects: first, provide timely, fair and true market information, including the variety, price and quantity of transactions and the price and quantity of trading orders; The second is to provide public information released by various market entities, that is, the public information released by the CSRC, exchanges, listed companies and registered companies through designated channels; The third is to provide all kinds of investment consulting information, including market analysis, research reports and investment suggestions.