The year-end summary of securities business department 3 1xxxxx has gone away from me. In my life, it is destined to be an extraordinary year. In May, I officially bid farewell to my student days and went out of college to practice in the company. In August, I officially came to Xingtai to participate in the preparation of the Division. For myself, this year is an epoch-making year. It's a change from a student with the aura of a college student to a professional who has to take on job responsibilities. In the process of this change, I feel that I am unsuccessful. At the beginning, I didn't really put myself into my work, either in my ideas or in my actions. After many changes in methods and thinking, I am a little distressed and confused. But soon, with the help of leaders and colleagues, we soon realized our own shortcomings and gaps. After experiencing some initial discomfort and continuous learning and accumulation at work, I made a breakthrough in brokerage business on the basis of completing my job.
Xxxx is a year of construction of the Division. In this year, although we have worked hard, our achievements are obvious to all. A brand-new business department has been presented to us, the system construction has been completed, various tests have been successfully completed, and passed the inspection by the Securities Regulatory Bureau and the head office. You can hear the official reply from the Ministry of Commerce in the next few days. As part of my preparation, I watched the process step by step. I am sincerely happy. Although there have been mistakes and setbacks in this process, the gains are rich. A brand-new sales department has stood in front of us. From its own point of view, this is a great progress and has completed an important turning point in life.
What I learned this year is earnest, realistic and not afraid of difficulties. At first, I may be inexperienced, but some mistakes are entirely caused by my ignorance and carelessness. When I wanted to install the video conference system, I thought it would be okay to install it according to the installation instructions, so I hung the TV on the wall, but when the headquarters instructed us to install it, it was not the case at all, it was another installation method, so I had to reinstall the TV and equipment. Although this is not a big thing, I can find an inherent thinking that I have always had, and I can do whatever I want. Actually, it's not. We must be serious and realistic. If you know, you know. Say you don't know if you don't know. Proceed completely from the facts. As a staff member in the IT department of the business department, you have to completely install the guidance documents from the headquarters before you can operate. Ask if you don't understand, ask the original business department, ask the headquarters until the problem is solved, and sum up experience from it. Now it is required to be familiar with the business in the near future without asking.
I still have a problem, that is, there is some lack of foreign exchanges, which is also the cause of personality, but I think I will try my best to overcome this problem. Just like the problem I encountered when I contacted the satellite bracket last time, it took nearly a month to install the satellite bracket because there was no external contact. Although the installation of the satellite didn't take so long, it was really my deficiency in this respect. I will step up my study in this area in the future, and the improvement in this area may be slow, but I will make efforts in this area.
The business department will be formally established soon. According to my own characteristics, I think we should make our next anniversary plan from the following three aspects. I should learn from my own work first. As the head of the computer department of the sales department, I want to ensure the network security of the sales department. It is my main responsibility to make mistakes during working hours. Through the system construction some time ago, I have understood and mastered the basic architecture of the system, but I have reason to believe that there will be some water. What I lack is long-term accumulated experience. In this regard, I will carefully study the previous accident documents, try to sum up from other people's experience and avoid some mistakes made by others. I should start from the following aspects:
1. Read the system configuration file and the system construction log of the securities business department carefully to have a deeper understanding and mastery of the system. When an accident occurs, the root cause of the accident can be judged as quickly as possible, so as not to affect the transaction.
2. Download the accident documents from the mailbox and learn from the experience of other business departments to make up for the lack of experience of our newly established business department. We must make sure that we don't make accidents that others have made, and deal with similar accidents as soon as possible.
3. Business departments are gradually on the right track, and some rules and regulations on information systems should be truly implemented, and a complete set of safe use systems for business and office computers should be produced for everyone to abide by before opening.
Year-end summary of securities business department 3 2 I have worked part-time in N companies since I was a university, and I have contacted people from different industries, but I have never known what I am suitable for. Although I have something I like to do, I don't have the courage to turn my hobby into a career direction. Until I joined Jintai Futures, the mystery of the futures industry deeply attracted me. I told myself loudly that I finally found the direction I wanted, and a heartfelt satisfaction made me find the value of life.
My daily job is to make phone calls, post posts and contact customers, which is my whole job. The phone started with the voice of "Hello, Jintai Futures" again and again, and ended with the voice of refusal again and again. Numerous published posts also disappeared in a few seconds. I can accept all these, because this is "sales", looking for opportunities in countless rejections, no matter what line of sales. When I meet a person who is willing to listen to his explanation or reply, I will be satisfied whether I will become my own customer or not, because this is a small achievement I have made by working silently every day and an affirmation of my work. Although it may seem insignificant to others, working silently every day is a powerful spiritual motivation. Even if you fail again and again, keep trying again and again.
In fact, what really attracts me is not these jobs, but the futures industry itself. Although I am just an outsider, I have just opened the door to the futures industry. I didn't become a professional practitioner in the futures industry, and I didn't really step into this industry. But the futures industry is like a huge magnetic field, and its infinite power deeply attracts me and becomes the direction of my future career and life. Although the future is unknown, futures have really intervened in my life. No matter what will happen in the future, I am now engaged in this industry and creating my own value.
A few days ago, there was a staff meeting. The leader said that you should be a person worthy of help when you are young, and you should be a person who gives others opportunities and helps others after you make small achievements. Now I enter the futures industry like a blank sheet of paper. With the guidance and help of leaders and colleagues around me, I have a brand-new color. Thank you to all the people around me who have helped me, thank you for warmly accepting me who is occasionally insecure, and thank you for patiently guiding me who is occasionally ignorant. The leader talked about the efforts of your marketing department, and we all saw it. Although it is only these simple words, I am very touched. Thank you very much for your affirmation and support. I will work harder, do what I like and do what I like best!
In the new year-20xx, first of all, I will continue to study hard from leaders and colleagues around me, continue to learn futures professional knowledge, constantly enrich myself, meet all kinds of customers Kan Kan, and make myself a more qualified futures practitioner. Secondly, I will continue to explore different channels, find more high-quality customers, actively and enthusiastically keep in touch and communicate with customers, convey the most sincere feelings of cooperation to them, and let them feel the strong strength of our company. Even if you may encounter all kinds of problems and tests in the process of work, even if you occasionally doubt your ability and your choice, even if you may not see your future for the time being, even if ... just as Chen Ou, the founder of Jumeiyou, said in an advertisement for himself: "The dream is destined to be a personal trip, and there is no doubt and ridicule on the road, but so what; Even if you are black and blue, you must live beautifully! " 20xx, we will prove whose era this is.
Year-end summary of securities business department 3 According to the requirements of China Securities Regulatory Commission on account specification and the unified arrangement of the company, our business department began to prepare for the tripartite depository work in March of * * *. Our business department has always carried out the account standardization work in every stage of the three-party depository. Over the past year, after a lot of rigorous, meticulous and pragmatic work, our department has made good achievements in account standardization, especially in the aspects of account real-name registration system registration, consistency of information between capital account and securities account, truthfulness, accuracy and completeness of customer account information, clear ownership of customer assets and integrity of customer files. At the same time, it also provides a strong guarantee for the sales department to find out the family background, standardize operations and improve customer service level.
The first part * * the basic situation of Bayi Road Sales Department
Fortune securities * * Bayi Road Sales Department was established in 1994, formerly known as Hunan Trust and Investment Company * * Bayi Road Sales Department, and was renamed fortune securities * * Bayi Road Sales Department after reorganization in 20xx. As of March 28th, 20xx, the business department had 30,432 A-share shareholder accounts in use. Our business department was established earlier, and different managers have different understanding and grasp of the business in different periods, which naturally precipitated a large number of irregular accounts with invalid telephone numbers and addresses. In addition, through the process of company restructuring, management team adjustment and personnel turnover, it has brought great difficulties to the standardized account cleaning of our bank.
The second part is the organization and management of the standardization of three-party depository accounts in the business department.
* * * On March 15, the company held a mobilization meeting for the tripartite depository work, and the company leaders proposed that the tripartite depository work should be taken as a major event in business development. The business department has carefully studied and discussed the spirit of this meeting, and all employees have deepened their understanding, unified their thinking, and more clearly realized the significance of the three-party depository work. In order to promote the smooth progress of account standardization in the business department, the business department has strengthened the organization and management from the following aspects:
First, clear objectives and careful planning.
According to the company's requirements in different stages, such as account screening, notification and publicity, standardized online, and key cleaning, the business department has formulated clear work objectives and careful work plans to ensure that every employee in the business department is familiar with his specific tasks, work progress, operation path and ultimate goal. This kind of target management has played a very good role in all aspects.
Second, unified leadership, responsibility to people.
Our business department was established earlier, which precipitated a large number of sleeping customers, which made the account standardization work face greater pressure. Therefore, according to the company's requirements, in March of 16, the * * business department set up a tripartite depository working group headed by the general manager to make unified arrangements for the tripartite depository work of the business department. At the same time, the three-party depository work is regarded as an important part of the assessment of business departments, and strict requirements and reward and punishment measures are put forward for the progress and quality of the work to ensure that the work is pragmatic, rigorous, timely and quality-guaranteed.
Third, division of labor and cooperation to ensure efficiency.
In order to protect the interests of investors and ensure the smooth progress of the three-party depository work, the positions and division of labor were adjusted according to the actual situation, so as to be tight inside and loose outside, busy and orderly.
Externally, we put the protection of investors' interests in the first place and try our best to provide convenience for our customers. At the peak of contract signing, according to the requirements of the brokerage business department, the business department opened a three-party depository business area in the trading hall of the business department, added posts such as on-site consultation and account standardization, and opened three-party depository. At the same time, arrange the transaction manager of the sales department to be responsible for the reception and explanation of the three-party depository of individual customers. In the past year, there has not been a customer dispute caused by the three-party depository business in this business department, which has realized the smooth and efficient promotion of the three-party depository work.
Clearly define the division of labor internally, and assign the responsibility to people, so that every irregular account has a telephone supervision notice and a file checking system, so that the daily business will not be delayed during working hours, and the account standardization work kept by three parties will not be put down after work hours.
Fourth, dynamic evaluation, clear rewards and punishments.
Objectively speaking, the standardization of three-party depository accounts is largely a boring, repetitive and complicated labor, and there is a great possibility of mistakes. However, we are well aware that a little mistake made by employees in account specification may bring inconvenience and loss to customers, and may also bring disputes or lawsuits to the sales department. To this end, the sales department not only requires employees to be highly concentrated subjectively, but also specially formulated relevant supporting reward and punishment measures. * * * After March, the adjustment of monthly salary and year-end bonus is largely determined according to the performance of employees in standard account cleaning. In addition, the business department also stipulates that any customer developed by the account manager who fails to go through the account standardization procedures within the specified time will reduce or even cancel the performance pay ratio of the account manager.
The third part is the implementation and specific measures of the standardization of three-party depository accounts in our department.
First, strengthen learning, act according to the rules, and strictly control risks.
In the process of standardizing the three-party depository accounts, the business department has carefully studied the relevant documents of China Securities Regulatory Commission and China Securities Depository and Clearing Company, and formulated a series of operating rules and regulations such as "Activation Measures for Small Dormant Accounts" according to the spirit of the company's three-party depository series documents and the actual situation of work, which made the specific work well documented and rule-based, greatly improved the standardization and accuracy of account cleaning work, and strictly controlled potential risks.
Second, strengthen training, unify standards and standardize operations.
Three-party depository involves customers, brokers, banks and other related aspects, involving all the basic links of the counter business of the sales department. At the same time, it is necessary to clean up and standardize all kinds of problems left over from history, and business personnel need to concentrate on dealing with some unconventional problems in a short time. Such a complex system engineering is a severe test for the business ability and management ability of the employees in the business department. However, all employees in the sales department showed confidence and determination to win. They not only actively participated in the on-site business training organized by the company and the business department, but also studied and communicated through the company's office system, video system, QQ system, website and other channels, and carefully studied the documents of management and service organizations such as CSRC and Deng Zhong Company in their closed market and spare time. Since the three-party depository work, the business department has participated in the on-site training and video training of the company's three-party depository business for more than ten times, and the business department has organized all employees to study the management organization and company documents for more than ten times. Learning through other channels is going on every day. Over the past year, strengthening the study and training has not only ensured the efficient and orderly work of the three-party depository, but also effectively protected the interests of customers, which has played an important role in improving the professional ability of employees.
Third, resolutely put an end to new unqualified accounts.
Since 65438+1 October1in * *, the business department has resolutely prohibited the opening of new unqualified accounts. Since * * year165438+1October 23rd, all newly opened RMB accounts have been launched directly. In order to put an end to newly opened unqualified accounts, the Emergency Notice on Prohibiting Newly Opened or Newly Established Unqualified Accounts formulated by the company provides a strong guarantee from the mechanism and process, and puts forward clear punishment measures for illegal operations. At the same time, the real-time monitoring system of the company's risk control headquarters searches the customer's ID number, name, telephone number, address and other fields in real time, which also provides background support and guarantee for the qualification and accuracy of the newly opened capital account of the business department.
Four. Specific operational measures for account standard cleaning
(1) account screening work
* * * In mid-March, the company held a tripartite depository mobilization meeting, and since March, the business department officially started the account screening work. All employees of the business department conduct a comprehensive investigation of all RMB accounts against the original data such as customer files and system records, compare account information one by one, identify account classification, determine its standardization and existing risks, classify and identify in the counter system according to the identification results, and establish unqualified account ledgers. Although everyone predicted the difficulty of this work, it was discovered that the complexity and difficulty of this project exceeded everyone's expectations.
During forty days, 3 1 employees compared and marked nearly 20,000 customer files and systems in the business department after work and on weekends, and each file was checked at least twice, with an average of nearly 500 copies per person. A large number of files are scattered in the hands of every employee, which also brings great challenges to the security of file management. Although the work is intensive and complicated, from the spot check results of the tripartite depository working group of the sales department, the accuracy of account screening and system identification is quite satisfactory.
Throughout March and April, from the general manager to the ordinary employees, everyone worked together, "fast food lunch, all night; The phrase "working day and night, hurry up and do it quickly" is the most true portrayal of the hard work of the sales staff at that time. In the past forty days, every female employee's finger has left a scar cut by the customer file, several people have cervical spondylosis, and many touching stories have emerged among the employees. The selfless dedication of employees started the first shot of standardized account cleaning!
(2) Notification and publicity work
After finding out the base number through account screening, from June of * * * *, the business department began to continuously inform customers and educate investors about the third-party depository in combination with the company's third-party depository work announcement, which has continued to this day. While the company used this evening paper for publicity, our department also took a series of publicity and supervision measures. First, the business department set up a three-party depository consultation counter, posted educational materials for three-party depository investors, arranged business backbones to conduct three-party depository business consultation every day, and urged customers to standardize their accounts as soon as possible and handle three-party depository procedures; Second, the business department set up a column of three-party depository business in a prominent position in the trading hall to introduce the meaning and significance of three-party depository, and issued announcements and notices about three-party depository business by our company and the business department; The third is to remind investors by using live broadcast system, online trading system and on-site quotation commission system; The fourth is to notify customers with irregular accounts by phone and SMS for many times. * * * Since April, the business department has used the customer service short message platform system to send more than 50,000 short messages about three-party depository and standardized accounts, and sent them to every household with irregular accounts three times on average; Fifth, multiple rounds of telephone prompts. According to the progress of account standardization, the business department organized employees to call customers with irregular accounts for many times, and the average number of calls for standardized accounts kept by the three parties exceeded 5,000, which really consumed a lot of energy and energy. The sixth is to provide on-site service to special customers such as physical inconvenience and old age.
(3) standardize online work
* * In late June, according to the unified arrangement of the company, the business department began to enter the standardization online stage. The work at this stage is mainly to clean up the existing RMB accounts in the sales department door by door. The specific work includes filling in the account opening information, perfecting the system logo, signing the tripartite depository agreement, organizing customers to go online centrally, and handling the legacy customers to go online.
In order to ensure the work effect at this stage, our department has formulated specific measures to ensure the venue, personnel and process of the business department. First of all, set up a special area to accept the third-party depository business, including consulting posts, screening and diverting posts, signing consulting posts, clearing standard posts, telephone consulting posts, data cleaning and filling posts, auditing and rectification posts, publicity and promotion posts, coordination and guarantee posts, information entry posts, auditing and signing posts and bank posting posts. , the implementation of process operation, improve business efficiency; Secondly, according to the principle of "complementary advantages", different working groups are formed, and the sales department is responsible for key links such as customer screening and system entry. Third, adjust the business acceptance process reasonably, extend working hours, provide time convenience for customers to handle business, and increase the number of business acceptance in a single day. Fourth, in the later stage of this stage, the business department takes measures such as door-to-door service, cross-notification, and transaction restriction to a few customers who have not been cleaned up, so as to maximize the qualified rate and signing rate of business accounts.
(4) Concentrate on cleaning up the remaining problems.
At this stage, data statistics and review will be made on the standard account cleaning work during the year, and personal accounts that are not online will be handled separately. Make a management ledger for the remaining few unqualified accounts that cannot be standardized, and consult the standardization opinions of the remaining problem accounts in advance. Due to its early establishment, the sales department of Bayi Road has also accumulated some problems left over from the accounts. This time, with the help of the third-party depository, our department also handled some historical overdraft accounts in time. With the support of the headquarters, the sales department went to Guangzhou, used various channels to find customers and tried to explain the influence of irregular accounts to customers. At first, this move was suspected by customers and our employees were turned away. They haven't met our door-to-door staff all day. Early the next morning, our employees came to the customer's door to wait again, but it had been three hours, and the weather in Guangzhou was hot. Our employees can only satisfy their hunger by carrying mineral water with them, and they can't leave half a step. Finally, the customer was moved by our sincerity. With the repeated efforts of our employees, the attitude of customers began to change and accepted the opinions of our employees. It has played a positive role in promoting the accounting clean-up work of our department.
In addition, our department also has a customer with unqualified Dalian prison account. Before, the customer did not leave any contact information, but inquired about the contact telephone number of the telecom company and found the contact address of the customer through the ID number. Later, I learned from the customer who contacted the customer that his wife's work unit was transferred to Dalian. After applying to the headquarters, our department sent employees to Dalian, intending to go to Dalian prison with the help of his wife to ask customers to standardize their accounts, but they were blocked by layers. Seeing that time passed day by day and things didn't make any progress, the employees in our department were anxious and decided to apply to the headquarters for a clean relationship. Finally, with the cooperation of the headquarters and relevant departments, the customer signed a new account opening document and standardized the account.
(5) Restrictions on illegal accounts.
In view of the fact that some customers still failed to standardize their accounts in time, after September, our department made necessary restrictions on unqualified accounts in batches according to the requirements of relevant documents of China Securities Regulatory Commission and China Registration and Clearing Company and the unified deployment of the company. 20xx65438+1October 14 In order to speed up the standardization progress, on the basis of improving work efficiency, measures such as restricting access, restricting purchase, restricting cancellation of designation and restricting transfer custody were implemented for unqualified accounts and qualified offline customers, and customers were urged to standardize their accounts in the sales department as soon as possible. At present, the number of unqualified accounts in our business department and the number of customers who have not signed the tripartite agreement have been greatly reduced. Nevertheless, we still have some customers who are hard to reach, and their phone numbers and residential addresses have changed. According to the requirements of relevant documents of China Securities Regulatory Commission and China Registration and Clearing Company, and in accordance with the unified deployment of the company, our department has successively restricted unqualified accounts, which has led to the standardization of unqualified accounts one after another, and the number of unqualified accounts has been greatly reduced after taking restrictions. In order to standardize unqualified accounts as soon as possible, the business department has unified its thinking, and even if the turnover is lost, it is necessary to ensure that unqualified accounts are standardized as soon as possible.
The fourth part is the current situation of accounting classification and standardization in the business department.
At present, the identification of various accounts in our department is completely consistent with the counter system. See the following table for the specific account distribution.
List of Account Specifications of fortune securities Bayi Road Sales Department
Base date data current data
Reporting unqualified securities accounts 1249 109
Qualified securities account 12850
Non-standard account with unqualified data 107
Unqualified other accounts 2
Clean up qualified unsaved pipeline 0
Small dormant account 4448
total
The deadline for the above data is April 14.
The fifth part is our work experience.
Standardization of three-party depository accounts has been going on for more than a year. Looking back on these days, we are both emotional and gratified. Unfortunately, we have paid a lot, including rest time, sweat and wisdom! Thankfully, our efforts have been richly rewarded.
First, it promoted business development. We feel that account standardization is the correct decision of the regulatory authorities, an important measure to ensure the healthy development of the securities market, and a powerful guarantee for us to improve our service level and further standardize our operations. In practical work, we have always established the belief that there is no contradiction between account standardization and business development, and good standardization can greatly enhance our market competitiveness. The facts also fully illustrate this point. In the past * * * years, our department's income, profit and share have made great progress, and the business scale has been continuously developed and expanded, which strongly proves that the policies formulated by the regulatory authorities, company leaders and us are correct! Our efforts are worthwhile, and the promotion of account standardization to business development is positive and obvious!
The second is to consolidate the management foundation. Three-party depository and account standardization is a huge and complicated systematic work, and it is also the most effective means for us to consolidate the management foundation of the sales department, especially to master the customer information more comprehensively and in detail. Through repeated verification and supplement, our customer information has been quite complete and complete, which not only enables us to further understand the customer base of the sales department and understand the customer situation, but also enables us to have more confidence and confidence in analyzing customer preferences, determining customer risk tolerance and refining customer service in the next step.
Third, operational risks are under control. Account cleaning and standardization is also a rectification and thorough investigation of various business risks in the sales department. Doing this work carefully can control the source of risk in the sales department to a great extent and eliminate major risks. Due to many complicated historical reasons, it has seriously affected the daily operation and management. Through this standardized accounting cleaning work, we have basically achieved a clear idea, which is also an important gain for us.
The sixth part is the existing problems and the next work arrangement.
At present, our department has 109 unqualified securities accounts, most of which are customers who can't be contacted by telephone, Netcom, China Mobile, China Unicom and Bank. For this part of the account, our business department has imposed restrictions on the prohibition of transfer and purchase on this account on 20xx 65438+ 10/4. In addition to passive restrictions, our sales department will try its best to contact customers and try to standardize this part of the account as soon as possible.
In the future work, we will continue to take the safety of customer assets as the principle, take the third-party depository work as an opportunity, change the management mode in time, improve the service quality, and adhere to compliance management; Think positively, prepare in advance, and seriously deal with new problems that may arise after being included in the third-party system and some customers are put into another inventory. For the problems exposed in this self-inspection, we will further analyze and formulate more detailed and scientific solutions after the meeting, rectify in time and control risks.