金融行业发展快，收益高，但风险也高。证券公司作为其中一员，经营过程也面 临着高风险。近年来，监管不断加大力度规范证券公司的经营行为，降低运营的风险， 对于严重违规者将采取严格的惩罚，甚至是法律的制裁。因此，证券公司越来越重视 合规管理工作，防范合规风险的发生，寻求发展的同时加大了合规管理的要求。我国 的大型券商由于人力，财力，物力的极大保障，且有朝前的合规意识，建立起了较为 完善的合规管理体系，但对于发展时间较短的中小券商来说，合规管理工作才刚起步， 应尽快提升自身的合规管理能力，以适应不断创新，监管不断严格的证券市场的发展。 证券营业部由于其业务占比大，人员占比重等因素，也成为了证券公司所面临的的风 险中最基本的风险，因此营业部配备了相应的合规专员进行营业部的合规管理工作， 防范、化解和处理营业部合规风险的发生。作为证券公司合规管理工作重要的一部分 -营业部的合规管理工作，建立科学的证券营业部合规管理评价体系，客观、公正地对 其进行评价研究，对促进证券公司以及整个行业的健康发展具有重要的意义。 本文首先介绍了合规管理的基本概念和理论，国内外证券公司营业部合规管理的 评价研究情况；接下来阐述了HF证券营业部的合规管理情况，提出了研究的思路及 方法；然后以HF证券营业部的合规管理为研究主题，结合国内外的合规管理理论与 实践成果，结合营业部日常合规管理工作，构建了HF证券营业部的合规管理评价指 标体系，并且运用层次分析法对其进行了定量分析，并针对分析结果找到了营业部合 规管理的问题，并提出了相应的改进措施。 HF证券是一家全国性的证券经营机构，自身营业部的合规管理工作所暴露的问 题也具有一定代表性，本文以HF证券营业部的合规管理工作为案例进行评价研究， 对于其他证券营业部的合规管理评价也有一定的借鉴意义。 关键词：证券公司 营业部 合规管理 评价研究改进措施 III ABSTRACT The financial industry develops rapidly, with high returns, but also high risks. As one of them, securities companies are also faced with high risk in their business process. In recent years, supervision has been increasing efforts to regulate the business behavior of securities companies, reduce the risk of operation, and severe punishment, even legal sanctions, will be adopted for serious violators. Therefore, securities companies pay more and more attention to compliance management, prevent the occurrence of compliance risks, seek development at the same time increase the requirements of compliance management. Big brokerages in China due to the human, financial and material resources to the maximum guarantee, and forwards the compliance awareness, established a relatively perfect compliance management system, but for a shorter development time of the small and medium-sized brokerages, compliance management work just started, as soon as possible to improve its ability of compliance management, to adapt to the continuous innovation, strict the development of the securities market supervision constantly. Due to the large proportion of business and personnel, the securities business department has become the most basic risk among the risks faced by securities companies. Therefore, the business department is equipped with corresponding compliance specialists to carry out the compliance management of the business department and prevent, defuse and deal with the occurrence of compliance risks in the business department. As an important part of the compliance management of the securities company, the compliance management of the business department, it is of great significance to establish a scientific compliance management evaluation system of the securities business department and evaluate and study it objectively and justly, which will promote the healthy development of the securities company and the whole industry. This paper first introduces the basic concept and theory of compliance management, domestic and foreign securities company business department compliance management evaluation research situation; Next, the compliance management of HF Securities Business Department is elaborated, and the research ideas and methods are put forward. Then to HF securities business department of compliance management as the research subject, combined with compliance management theory and practice achievements both at home and abroad, and combined with the sales department daily compliance management, build IV the HF securities business department of the compliance evaluation index system, and using the analytic hierarchy process (ahp) to quantitative analysis was carried out, and found the office of compliance management on the analysis of problems, and proposes the corresponding improvement measures. HF Securities is a national securities business organization, and the problems exposed in the compliance management of its own business department are also representative to some extent. This paper takes the compliance management of HF Securities Business Department as a case to evaluate and study, which can also be used as a reference for the compliance management evaluation of other securities business departments. KEYWORDS: Securities company; Business department; Compliance management; Evaluation Research; Improvement measures V 目录 摘要 ................................................................................................................................. I Abstract .......................................................................................................................... II 第一章绪论 ..................................................................................................................... 1 1.1选题背景 ........................................................................................................... 1 1.2 研究目的与意义 .............................................................................................. 2 1.2.1研究目的 ................................................................................................ 2 1.2.2研究意义 ................................................................................................ 2 1.3国内外合规管理及评价研究综述 ................................................................... 3 1.3.1国外合规管理研究综述 ........................................................................ 3 1.3.2国内合规管理研究综述 ........................................................................ 3 1.3.3合规管理评价研究综述 ........................................................................ 4 1.4研究方法与研究内容 ....................................................................................... 5 1.4.1研究方法 ................................................................................................ 5 1.4.2主要研究内容 ........................................................................................ 5 第二章 合规管理理论 ................................................................................................... 7 2.1 合规管理相关概念 .......................................................................................... 7 2.1.1合规 ........................................................................................................ 7 2.1.2合规风险 ................................................................................................ 8 2.1.3合规管理 ................................................................................................ 8 2.2 合规管理相关理论 .......................................................................................... 9 2.3国内外合规管理发展历程 ............................................................................. 10 2.3.1 国外合规管理发展历程 .................................................................... 10 2.3.2 国内合规管理发展历程 ..................................................................... 10 第三章 HF证券营业部合规管理现状 ........................................................................ 13 3.1 HF证券及营业部简介 ................................................................................... 13 3.2 HF证券营业部合规管理目标、体系及制度 ............................................... 13 3.3 HF证券营业部合规运营状况 ....................................................................... 14 3.4 HF证券营业部合规管理工作概况 ..