随着信息技术的脚步加速，各种先进的管理技术思想为国内证券公司的发展 提供了从多个层面进行自我强大的机会。面对证券行业的创新和发展，竞争环境 的变化，顾客需求日益个性化，以及技术的飞速发展，证券公司需要不断更新产 品或服务。根据最初的产品或服务来设计的流程，已经不再适应新的变化，需要 对原有流程进行分析、改进和优化。为此，证券公司也在积极响应时代的号召， 运用先进的管理技术和工具，不断推动原有流程的变革和更新，努力为投资者提 供更好、更优质的服务。 近年来，证券行业先后推出统一账户体系建设、沪港通、深港通以及科创板 开通等举措，开始适应互联网科技的发展趋势。这一系列的证券业务创新，离不 开证券行业信息化系统的构建，也离不开整个业务流程的顺利推进。证券公司业 务创新的发展是一个逐步完善的过程，只有这样才能适应瞬息万变的证券市场， 更加高效便捷地服务投资者。基于这样的行业背景，作为一家中小券商，高普尚 证券也需要顺应市场变化，推陈出新，及时调整企业内部业务运营流程，积极改 革创新，尽快抓住互联网金融的机遇，并将这一系列的业务创新通过系统化构建 和经纪业务运营流程的推进得以实现，以适应时代发展的需要，使企业迈上新的 台阶。 本文首先介绍了关于证券经纪业务和证券经纪业务运营的相关概念，阐述了 流程优化理论，通过对高普尚证券公司经纪业务的运营现状进行介绍，引出了该 公司目前具体的运营流程概况；其次，从公司内部调研开始，通过对高普尚证券 公司管理层领导以及基层员工进行访谈，总结归纳了自2014年公司运营中心成 立以来经纪业务运营中存在的问题，并对运营流程的问题成因进行了分析；再次， 运用流程优化的相关理论和方法，针对高普尚证券公司经纪业务运营流程提出切 实可行的优化策略,即组织测试阶段流程完善、业务测试阶段流程自动化、业务 上线阶段操作流程标准化、线上运维阶段流程集中化、线上运维阶段档案电子化 等；最后，针对优化策略的实施及保障提出了一些方法和建议。 本文对于其他有类似背景的证券公司改进运营流程提供了参考，对于经纪业 务运营流程的优化具有一定的现实意义和实用价值。 MBA学位论文 作者：刘甜 高普尚证券公司经纪业务运营流程优化研究 II 关键词：高普尚证券公司,经纪业务,运营流程 MBA学位论文 作者：刘甜 高普尚证券公司经纪业务运营流程优化研究 III RESEARCH ON THE OPTIMIZATION OF BROKERAGE BUSINESS OPERATION PROCESS OF GAOPUSHANG SECURITIES COMPANY Abstract With the rapid development of information technology, different advanced management technology thoughts are available for the self-enhancement and development of the domestic securities companies from multiple levels. Facing the innovation and development of securities industry, the change of competition environment, the increasingly personalized customer demand and the rapid development of technology, securities companies are required to constantly update their products or services. The process designed based on the original product or service is no longer suitable for the new changes, so the original process should be analyzed, improved and optimized. To this end, securities companies are also promoting the change and update of the original process by using the advanced management technology and tools to respond to the call of the times and to provide better service quality for the investors. In order to adapt to the development trend of Internet technology, the securities industry has launched, in recent years, measures such as the construction of the unified account system, the Shanghai Hong Kong Stock Connect, the Shenzhen Hong Kong Stock Connect and the opening of the Sci-Tech Innovation Board. These series of securities business innovation are closely related with the construction of the securities industry information system and the promotion of the whole business process. The business innovation of securities companies is developed and improved step by step. Only in this way can the securities companies adapt to the rapidly changing securities market and provide the investors with more efficient and convenient service. Based on such industry background, Gaopushang Securities, as a small and medium-sized securities firm, also needs to adjust internal business operation process without delay, reform and innovate to adapt to the market changes. Besides, Gaopushang Securities should seize the opportunity of Internet finance, and realize this series of business innovation through systematic construction and MBA学位论文 作者：刘甜 高普尚证券公司经纪业务运营流程优化研究 IV promotion of brokerage business operation process to adapt to the development of the times and push the enterprise to a new stage. This paper firstly introduces the corresponding concepts of securities brokerage business and operation of securities brokerage business, expounds the theory of process optimization and introduces the current situation of the operation of the brokerage business of and the operation process overview of Gaopushang Securities Company; secondly, this paper summarizes the problems existing in the brokerage ; business operation since the establishment of the company's operation center in 2014 and analyzes the causes of the problems in the operation process through the internal investigation and survey as well as the interview on the management leaders and grassroots employees of the company; thirdly, this paper uses the corresponding theory and method to put forward feasible optimization strategies for the back office operation process of brokerage business of Gaopushang Securities Company, namely process improvement in organization test stage, process automation in business test stage, operation process standardization in business online stage, process centralization in online operation and maintenance stage, electronic archives in online operation and maintenance stage, etc; finally, this paper put forward some methods and suggestions for the implementation and guarantee on the optimization strategies. This paper provides reference for other securities companies with similar background on the improvement of their operation process and has a certain practical significance and value for the optimization of brokerage business operation process. Keywords: Gaopushang Securities Company, brokerage business, operational process MBA学位论文 作者：刘甜 高普尚证券公司经纪业务运营流程优化研究 V 目 录 中文摘要.............................................................................................. I Abstract ..............................................................................................III 第一章 绪论 ..................................................................................... 1 1.1 研究背景与意义.............................................. 1 1.1.1 研究背景................................................ 1 1.1.2 研究意义................................................ 2 1.2 研究现状.................................................... 3 1.3 研究内容、方法与思路........................................ 4 1.3.1 研究内容................................................ 4 1.3.2 研究方法................................................ 5 1.3.3 研究思路................................................ 5 第二章 相关概念及理论基础 ........................................................... 7 2.1 证券经纪业务概念............................................ 7 2.2 证券经纪业务运营概念........................................ 7 2.3 流程优化理论................................................ 8 2.3.1 流程优化定义............................................ 8 2.3.2 流程优化方法........................................... 10 2.3.3 流程优化的执行步骤..................................... 11 第三章 高普尚证券经纪业务运营现状及问题分析 ....................... 14 3.1 高普尚证券经纪业务运营现状................................. 14 3.1.1 公司简介............................................... 14 3.1.2 公司经纪业务运营流程................................... 15 3.2 高普尚证券经纪业务运营调研及问题归纳....................... 17 3.2.1 调研目的............................................... 17 3.2.2 调研内容............................................... 17 3.2.3 调研结果............................................... 18 3.3 高普尚证券经纪业务运营流程存在问题的成因................... 19 3.3.1 组织测试阶段流程缺少评审............................... 20 MBA学位论文 作者：刘