西南证券惠工路营业部合规管理的思考

合规风险管理已经成为全球金融业一个重点关注的问题，其作为一门专门的风险管理技术也已得到全球同业的普遍认同，在国际国内都受到空前的重视。本文以西南证券惠工路营业部为例，通过在西南证券惠工路营业部进行实习、与工作人员的交流，了解其合规管理的制度及执行情况，在日常的工作中发现问题。并参照世界上合规管理的制度结合西南证券惠工路营业部的实际情况给出了相关建议。
关键词：合规管理  西南证券  合规风险
Abstract:Compliance risk management has become a global focus in financial industry , as a specialized risk management techniques has also been widely recognized around global peers, both in international and domestic are seriously than before. In this paper, Southwest Securities Hui gong Road Business Department is regard as a example, to the cultural construction of Southwest Securities Compliance Hui gong Road Business Department conducted a deep analysis.
Key word:Compliance Management  Southwest Securities  Compliance Risk

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