：多年来，证券公司主要着重证券业务创新发展，而随着证券 监管形势日趋严峻，证券公司违法违规事件频发，暴露证券公司合规 管理存在严重缺位的问题，加强证券公司合规管理体系建设显得尤为 重要。目前，随着《证券法》到《证券期货投资者适当性管理办法》 的出台，证券市场的法律法规更加建立健全，与此同时，合规观念逐 渐渗透到证券公司管理中来。 文章采用文献研究法、问卷调查法及工作实践相结合的方法进行 分析，探究风险控制视角下证券公司合规管理问题及对策。文章以国 信证券为研究对象，在风险控制视角下国信证券合规管理问题及对策 研究工作中，文章阐述研究背景和意义、国内外合规管理研究现状， 在研究理论基础上，阐述风险控制与合规管理的全面风险管理模式框 架和国信证券合规管理现状。文章按照提出问题、分析原因、制定对 策、提出措施保障的逻辑主线，在风险控制的视角下，从员工合规管 理意识、合规管理制度与机制的建设及运营、合规管理职责履行、合 规管理环境等方面对国信证券合规管理进行有效性评估，采用基层员 工问卷调查与工作实践相结合，获取真实数据，并做进一步分析。文 章从员工意识、组织机制、文化建设、系统监控等方面提出问题，针 对问题进行原因分析，在国信证券合规管理待解决的问题以及原因分 析的基础上，从健全合规队伍和合规机构、建立完备的合规考核制度、 开展合规管理文化活动、完善全面风险监控系统等方面制定合规管理 II 的对策，从储备合规管理专业人才、优化公司合规管理组织结构与职 责、合规文化保障、构建完善的风险预警机制等方面提出合规管理的 措施保障。 研究发现，尽管国信证券合规管理采取一系列风险控制的措施， 但仍存在不可预料的风险，合规管理工作进展阻碍重重，最大的原因 是员工的合规管理意识较为淡薄，需进一步强化员工合规管理意识同 时改进公司硬件设施，以更好的进行合规管理。综合研究，我国证券 公司应该构建更加高效的合规管理体系，由高层到基层，贯彻落实合 规意识与公司价值观，才能将风险控制与合规管理更好的结合落实到 实际中去。 关键词：风险控制；证券公司；合规管理 III ResearchontheIssuesandCountermeasuresofCompliance ManagementofGuosenSecuritiesfromthePerspectiveof RiskControl YangJie(MBA) DirectedbyXieHefeng Abstract:Formanyyears,securitiescompanieshavefocusedonthe innovationanddevelopmentofsecuritiesbusiness.Withtheincreasingly severesituationofsecuritiessupervision,securitiescompanieshave frequentlyviolatedlawsandregulations,exposingtheseriouslackof compliancemanagementofsecuritiescompanies,andstrengtheningthe constructionofcompliancemanagementsystemsforsecuritiescompanies. Itseemsparticularlyimportant.Atpresent,withthepromulgationofthe "SecuritiesLaw"to"AdministrativeMeasuresontheAppropriatenessof SecuritiesandFuturesInvestors",thelawsandregulationsofthe securitiesmarkethavebeenestablishedandimproved.Atthesametime, theconceptofcompliancehasgraduallypenetratedintothemanagement ofsecuritiescompanies. Thisarticleadoptsacombinationofliteratureresearch, questionnairesurveyandworkpracticetoanalyzetheissuesand countermeasuresofcompliancemanagementofsecuritiescompanies fromtheperspectiveofriskcontrol.ThearticletakesGuosenSecurities astheresearchobject.Fromtheperspectiveofriskcontrol,inthe IV researchofGuosenSecurities’compliancemanagementissuesand countermeasures,thearticleelaboratestheresearchbackgroundand significance,thestatusquoofdomesticandforeigncompliance managementresearch,andexplainstheriskcontrolandComprehensive riskmanagementmodelframeworkforcompliancemanagementand GuosenSecuritiescompliancemanagementstatus.Thearticlefollowsthe logicalmainlineofaskingquestions,analyzingthereasons,formulating countermeasures,andproposingmeasurestoguarantee.Fromthe perspectiveofriskcontrol,fromtheperspectiveofemployeecompliance management,theconstructionandoperationofcompliancemanagement systemsandmechanisms,compliancemanagementresponsibilities, complianceIntermsofregulatorymanagementenvironmentandother aspects,weevaluatetheeffectivenessofGuosenSecurities'compliance management.Weuseacombinationofgrass-rootsemployee questionnairesandworkpracticestoobtainrealdataandconductfurther analysis.Thearticleraisesquestionsfromemployeeawareness, organizationalmechanism,culturalconstruction,systemmonitoring,etc., andanalyzesthecausesoftheproblems.Basedontheissuestobe resolvedandthecauseanalysisofGuosenSecurities'compliance management,itimprovesthecomplianceteamandthecompliance organization.Establishacompletecomplianceassessmentsystem,carry outcompliancemanagementculturalactivities,andimprovethe V comprehensiveriskmonitoringsystemtoformulatecompliance managementcountermeasures,fromreservecomplianceprofessionals, optimizingthecompany'scompliancemanagementorganizationstructure andresponsibilities,complianceIntermsofculturalsecurityandthe establishmentofasoundriskwarningmechanism,measuresfor compliancemanagementareproposed. ThestudyfoundthatalthoughGuosenSecuritiesadoptedaseriesof riskcontrolmeasuresforcompliancemanagement,therewerestill unforeseenrisks,andprogressincompliancemanagementwashampered. Thebiggestreasonwasthatemployees'awarenessofcompliance managementwasweak,andfurtherstrengtheningofemployees Compliancemanagementawarenessalsoimprovesthecompany's hardwarefacilitiesforbettercompliancemanagement.Basedon comprehensiveresearch,China'ssecuritiescompaniesshouldbuilda moreefficientcompliancemanagementsystem,fromthetoptothe grassroots,andimplementthecomplianceawarenessandcompanyvalues inordertobetterintegrateriskcontrolandcompliancemanagementinto practice. Keywords:Riskcontrol；Securitiescompanies；Compliance management 目录 摘要..............................................................................................................I Abstract......................................................................................................III 第1章绪论................................................................................................1 1.1研究背景和意义............................................................................1 1.1.1研究背景...............................................................................1 1.1.2研究意义...............................................................................1 1.2国内外研究现状............................................................................2 1.2.1国外合规管理研究现状.......................................................2 1.2.2国内合规管理研究现状.......................................................4 1.2.3文献述评...............................................................................5 1.3研究内容与方法............................................................................6 1.3.1研究思路...............................................................................6 1.3.2研究方法...............................................................................7 1.4创新点和不足................................................................................8 1.4.1创新点...................................................................................8 1.4.2不足之处...............................................................................8 第2章研究理论基础...............................................................................9 2.1合规管理概述................................................................................9 2.1.1合规管理的相关概念...........................................................9 2.1.2风险的相关概念.................................................................10 2.1.3风险控制的对象和目标.....................................................11 2.1.4风险控制要素的特点.........................................................16 2.2风险控制与合规管理..................................................................17 2.3本章小结......................................................................................20 第3章国信证券合规管理现状及调查.................................................21 3.1国信证券公司概况......................................................................21 3.2国信证券合规管理现状..............................................................23 3.2.1国信证券合规管理理念.....................................................23 3.2.2国信证券合规管理原则.....................................................25 3.2.3国信证券合规管理体系..........