四川师范大学硕士学位论文
施。明确集中运营模式方案的目标，是能够控风险降差错、降低运营成本、提升
业务时效；然后根据目标，介绍了方案的具体实施，即集中运营人员架构优化、
业务流程各环节整合提效、业务流程各环节规范标准、多个操作系统进行集中化、
零碎系统功能整合。进而提出 H公司集中运营模式应用的实施保障，主要内容包
括：公司柜面业务架构调整；各运营岗位职责明确划分；人员培训和绩效考核；
系统运行的稳定性和安全性四项内容，促使这种模式得以推广下去。
本文的创新之处在于对证券公司柜面业务这一课题的研究创新，相比于其他金
融欧亿·体育（中国）有限公司，例如目前银欧亿·体育（中国）有限公司已有大量柜面业务集中运营的成果案例，国内证券欧亿·体育（中国）有限公司
中对集中运营模式的应用仍处于起步阶段，成熟案例也很少。本文对现在 H公司
柜面业务存在的问题以及导致问题产生的原因展开深入的分析，且提出可行性的
应对策略，进一步创新营销模式。作为典型的应用型研究，本文的研究对互联网
背景下证券欧亿·体育（中国）有限公司的柜面业务集中运营理论有一定的参考意义和实践价值。但另一
方面，本文还存在一些不足，国内现阶段实行柜面业务集中运营的券商并不多，
相关数据及欧亿·体育（中国）有限公司并不充分，而且相关理论依据并未形成系统，使得相关分析显得
不够全面系统，研究深度稍显不足。
关键词：互联网金融证券公司柜面业务集中运营流程再造
II

Abstract
Research on the Centralized Operation Scheme of H
Securities Company under
the Background of Internet Finance
Business Administration
graduate student yangming sun
Instructor lingqiu zeng
Abstract：In the context of the continuous development of information technology,
the concept of "Internet +" has gradually emerged and been particularly widely applied.
People have gradually adapted to the changes brought about by the rapid development
of the Internet and the various Internet applications derived from the mutual "Internet
+".During this period, the development of the financial industry is gradually linked with
the Internet, and in the combination of "Internet +" and the financial industry, the
combination of the securities industry and the Internet trend increasingly obvious, the
trend of the securities industry, especially for the counter business of securities
companies formed a big impact.The current securities customers are accustomed to the
convenient and efficient Internet, for the existing securities company counter business
mode will become more intolerable, on the other hand, the securities market changes in
recent years, the counter business of securities companies has brought great influence,
the existing securities company counter business mode to adapt to the style of market
change, need for innovation.So it is necessary to better analyze and explore the
development of the Internet era of securities company counter business centralized path,
through a comprehensive comparison can find that the traditional securities company
counter business mode on the whole has more links, process is relatively complex,
leading to the high cost and low efficiency and so on.In this process, the implementation
of the family policy and the influence of the Internet finance, eventually led to a lot of
customer service demand is different from the past, a large number of new business rise,
on the basis of accelerate the traditional securities company counter business model
transformation, eventually promote the new centralized counter business operation
model, and shows the advantages of convenience, intensive.
This paper mainly consists of three major parts.The first part (chapter first and
second), this paper on the Internet financial industry background and securities industry
operation mode theory of the review, from the current Internet financial environment,
the securities industry business development status, the domestic and foreign securities
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四川师范大学硕士学位论文
companies counter business centralized operation mode theory and research status of
comprehensive analysis.According to the analysis, the global economic developed
regions and countries have proved with a lot of practices, based on a series of related
operation theories, counter business centralized operation mode can help promote
securities companies to achieve the optimal allocation of resources and produce very
considerable scale benefits.The second part (Chapter 3) analyzes the current situation,
existing problems and the main causes of the counter business of H Company.Mainly
include: personnel problems, business process problems, counter system problems.The
third part (Chapter 4 and 5), on the premise of the problems existing in the counter
business of H Company, puts forward the ideas and solutions to solve the problems.The
goal of centralized operation mode scheme is to control risks to reduce errors, reduce
operating costs and improve the business time. According to the goal, the structure
optimization of centralized operation personnel, integration of business process,
specifications and standards of various link of business process, and functional
integration of multiple operating systems.Then then proposes the implementation
guarantee of centralized operation mode, including: the adjustment of counter business
structure of the company; clear division of responsibilities of each operation position;
personnel training and performance appraisal; stability and security of system operation,
which promotes the promotion of this mode.
The innovation of this paper lies in the research and innovation of the counter
business of securities companies. Compared with other financial industries, for example,
with a large number of centralized counter business operation cases in the banking
industry, the application of centralized operation mode in the domestic securities
industry is still in its infancy, and there are few mature cases.This paper makes an
in-depth analysis of the problems existing in the H company counter business and the
causes of the problems, and puts forward feasible coping strategies to further innovate
the marketing model.As a typical application research, the research of this paper has
certain reference significance and practical value for the centralized operation theory of
counter business of securities industry under the background of Internet.But on the other
hand, there are still some deficiencies in this paper, at the present stage of the counter
business centralized operation of domestic securities brokers, the relevant data and data
are not sufficient, and the relevant theoretical basis has not formed a system, making the
relevant analysis is not comprehensive and systematic, the research depth is slightly
insufficient.
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