What departments does a securities company have?

Question 1: What are the core business departments of a securities company? 1. The core of investment banking business (serving enterprises) is to help enterprises with financing, such as IPO and refinancing. It also extends to related restructuring, acquisitions and mergers of listed companies, etc., and makes money by collecting handling fees. The business departments involved include: investment banking department, which is responsible for finding companies that need financing, writing application documents, etc. The Capital Markets Department is responsible for bringing together the Investment Banking Department and the Institutional Sales Department, coordinating conflicts of interest between the two parties, and acting as a firewall; the M&A Department is responsible for mergers and acquisitions. The work content of the above departments was mainly to learn a lot of laws, regulations and financial accounting knowledge in the early stage, and to write various documents as required. Most of the work was of a coolie nature, so employees were required to be practical, diligent and love to learn. Later, it will involve finding projects, attracting customers, and brokering deals, which requires strong sales skills and strong interpersonal communication. It would be helpful if you have a certain understanding of the capital market, but it is not a hard requirement. 2. Self-operation and asset management business (investment business) Self-operation means that securities companies use their own money to invest, such as stock and bond speculation. Asset management uses customers' money to invest, such as stock trading and bond trading. The money earned from asset management belongs to the customers, but securities companies can charge management fees. The business departments involved include: the self-operated department, a traditional investment department, which generally uses the company's own money to invest in stocks and bonds; the asset management department, which is similar to the self-operated department, but only uses customers' money to invest; others Investment management departments, such as PE, industrial funds, etc. This is in a broad sense, it may not necessarily be a department of a securities company, it may also be a subsidiary to make other investments, but the business content is similar. The work of these departments is similar to that of the research department below. They all analyze the long-term and short-term trends of the financial market, select investment objects, and even place specific orders. Therefore, analytical and research skills are the core. Specific knowledge of finance and various industries must be excellent, and you must have a good feel for the capital market. The requirements for interpersonal skills are not as high as in other departments. 3. The core of the brokerage business (serving investors) is to provide services to wealthy investors and make money mainly through investors’ trading commissions. The departments involved are: Brokerage Business Department, management business department, which mainly serves small and medium-sized investors, retail investors, etc.; Institutional Sales Department, responsible for serving large customers such as institutional investors, helping them buy stocks; Research Department, serving the institutional sales department , providing research and analysis reports to large customers. If the customer recognizes the level of the research department of a certain securities company, he will rely more on the company's sales department for transactions, and the securities company can obtain more commissions. I'm afraid there is no unified model for the promotion mechanism, so I won't go into details.

Question 2: What are the specific departments of formal securities companies? Generally speaking, securities companies should refer to comprehensive securities companies (relevant companies are divided into three categories: securities brokerage companies, which can only engage in brokerage of stock and other securities transactions or securities underwriting and other businesses; securities issuance companies, which are responsible for listed companies. Sponsorship, advisory or securities underwriting business; comprehensive securities companies can do the above two types of business

Comprehensive securities companies mainly include the following departments: President Office/or Board of Directors Office, Finance Department. Asset Management Department, Transaction Management Department, Research Department, Human Resources Department, Party and League Work Office, etc.

Securities companies are currently very picky in recruiting people. They generally require a master's degree in finance and more than two years of industry work experience. . The human resources department is generally responsible for applying for a job. After passing the preliminary review, some companies will organize an exam, and then you will be invited to interview/interview with the appropriate department head.

Question 3: What securities companies do you have? What are the departments? Hello! The most basic part of a securities company is the trading department, which is the department responsible for daily work, such as opening and closing accounts, modifying information, and keeping information.

Then there is the marketing department, which can also be said to be the consulting department, which is usually the department where the broker is located. For example, some large investors will have their own brokers. If there are some problems that cannot be solved by the trading department, you can go upstairs and ask the marketing department

There is also the Computer Department, which is responsible for daily system maintenance. For example, if a commission cannot be carried out, you can ask the Computer Department, but of course it is also responsible for the computer security within the company

And of course there is the Finance Department Department, not to mention those in charge of regulations and money

There are also many securities companies that have their own research rooms, responsible for market reviews and individual stock recommendations.

Question 4: What department does the counter of a securities company belong to? Opening shareholder accounts, capital accounts, handling various entrustment methods, bank-securities networking, inquiries, printing of delivery orders, printing of statements, red and blue of securities Supplement, red supplement and blue supplement of funds

Question 5: What are the general departments of the business department of a securities company? What tasks are they responsible for? Front Desk Service Department: Responsible for account opening.

Financial management department: Answers inquiry calls, is responsible for customer work and handles account transfer business.

Marketing Department; Responsible for recruiting account managers and developing new customers.

Logistics Department: All work outside the three departments is covered.

Question 6: What jobs are there in securities companies? Under normal circumstances, when you first enter the securities industry, you must start as an account manager. Account managers have star ratings. As you expand the number of customers and the greater the transaction volume, your level will be higher and higher. If you can persist and stay there for a long time, if there is a vacancy internally and this position is what you want, you can be transferred there on a rotational basis.

Question 7: What are the positions in the securities business department? This division is meaningless, because your position determines your salary, and I have never heard that IT specialists belong to the operation position. If you have to make a distinction, it is usually like this

Front desk: Broker Account Manager Senior Account Manager Chief Account Manager Regional Director (Marketing Director)

Middle office: financial consultant, financial manager, investment consultant (different companies have different names)

Back office: finance, IT, administration, counter ( transaction), operations director, customer service (in some companies the customer service is the counter)

Then, there is the general manager, and some companies have assistant general managers or deputy general managers.

The most common name in the industry is front, middle and back office

Question 8: Do investment banks refer to the investment departments of securities companies? In the United States, they are called investment banks, in the United Kingdom, they are called merchant banks, and in my country, they are called securities companies. companies, generally American investment banks are equivalent to Chinese comprehensive securities companies.

In fact, it is better to understand it this way - in fact, investment banks are analogous to commercial banks. Commercial banks are intermediaries for corporate debt financing, while investment banks are equity financing intermediaries (of course, they also include bonds and other bond instruments, as well as Derivative financial instruments), the securities trading business of securities companies is not investment banking business, but in the United States, investment banks include almost all securities businesses, and the most profitable ones are securities issuance and underwriting; to put it simply, investment banking business is actually in addition to bank loans Financing business, no matter what the company is, as long as it takes money from investors and invests it in companies that need financing, it is investment banking business.

Question 9: What unit does a securities company belong to? Is it an enterprise? Just think of it like an insurance company, bank, etc.

Question 10: What are the general internal structures of a securities company? Department Investment Banking Department, Trusted Asset Management Department, Securities Investment Department, Research Institute, Retail Customer Service Department, Institutional Customer Service Department, Financial Innovation Department, Finance Department, Risk Management Department, Human Resources Department, and more than n sales departments...