X证券公司柜台人员绩效管理与激励制度研究

发布时间：2018-02-08 20:05

本文关键词： 证券公司柜台业务绩效管理绩效考核激励制度　出处：《福州大学》2013年硕士论文　论文类型：学位论文

【摘要】：中国的证券市场在经历了20多年的发展后,市场逐渐成熟,运行机制不断完善。证券公司作为中国证券市场中最为重要的中介机构,也随着行业竞争的不断加剧,进入了从打“佣金战”向发展自身核心竞争优势的转折阶段。为了在降低人力成本的同时,仍为投资者提供优质的客户服务,X证券公司在各个环节不断探索提高业务流程和人力资本效率的途径。作为直面客户的X证券营业部柜台人员,他们的绩效管理和激励制度的改革明显落后于行业的变革,对柜台人员的工作效率和动力起到了一定程度的负面影响。为适应证券行业的发展变革,X证券公司急需针对行业特征、柜台人员的工作特点,选择合适的柜台人员绩效管理方法,制定有效的员工激励制度,这一过程也将成为实现X证券公司业务风险前端控制、人员队伍的科学管理的重要环节。本研究从绩效管理和激励制度的理论分析入手,在对证券行业、X证券公司现状以及柜台人员工作特点进行剖析的基础上,采用问卷调查以及个别访谈的数据采集法,总结出了X证券公司营业部柜台人员绩效管理和激励机制,在绩效标准设置、员工激励方式方面所存在的不足。针对总结分析得出的不足之处,运用关键绩效指标(KPI)法、360度测评法对柜台队伍不同岗位的绩效考核指标进行优化,采取薪酬激励结合精神激励的方式改进激励制度的设计；同时结合数据回归分析以及笔者的工作经验,将证券行情波动、监管政策执行等对业务量造成较大影响的因素加入考量,以便柜台人员的工作得到更科学的衡量和驱动。要想真正提高公司柜台人员的效率,除了有科学的制度设计外,还需要对制度的有效执行。本研究随后针对绩效管理各个步骤,以及激励制度各个方面的执行提出了若干建议,包括加强员工参与、绩效沟通,注意绩效目标的科学制定等方面,以保证绩效管理和激励制度达到管理层预期的效果。最后,本研究探讨了柜台人员的绩效考核结果,在应对业务量波动、提升组织整体效率方面的运用,为在证券公司柜台人员效率方面的进一步研究打下基础。本研究的主要创新点,在于创造性地将证券行情波动、监管政策执行等对业务量造成较大影响的因素运用到证券公司柜台人员绩效管理,以使证券公司的柜台人员管理能更好地反映行业的波动特点。
[Abstract]:After more than 20 years of development, China's securities market has gradually matured and its operating mechanism has been continuously improved. As the most important intermediary in China's securities market, securities companies are also becoming more and more competitive. Has entered a turning point from "commission warfare" to developing its own core competitive advantage. In order to reduce human costs at the same time, X Securities Company continues to explore ways to improve business processes and human capital efficiency in all aspects. The reform of their performance management and incentive system obviously lags behind the changes in the industry. In order to adapt to the development and transformation of the securities industry, the X Securities Company urgently needs to aim at the characteristics of the industry and the working characteristics of the counter personnel. Choosing appropriate performance management method of counter personnel and establishing effective employee incentive system will also become the front-end control of X securities company's business risk. This research begins with the theoretical analysis of performance management and incentive system, on the basis of analyzing the present situation of X securities company in the securities industry and the working characteristics of counter personnel. By using the data collection method of questionnaire and individual interview, this paper summarizes the performance management and incentive mechanism of the staff in the sales department of X Securities Company, and sets the performance standard. In view of the shortcomings of the summary and analysis, the key performance index (KPI) method is used to optimize the performance evaluation index of different posts in the counter team. To improve the design of the incentive system by adopting the way of salary incentive combined with spiritual incentive, at the same time, combining with the data regression analysis and the author's work experience, the stock market is fluctuated. Factors that have a greater impact on the volume of business, such as the implementation of regulatory policies, are taken into account so that the work of counter staff can be more scientifically measured and driven. In order to truly improve the efficiency of the company's counter personnel, in addition to the scientific design of the system, This study then puts forward a number of recommendations for the performance management steps, as well as for the implementation of various aspects of the incentive system, including enhancing employee participation, performance communication, Pay attention to the scientific formulation of performance objectives to ensure that the performance management and incentive system achieve the desired results of management. Finally, this study discusses the performance evaluation results of counter staff, in response to fluctuations in business volume, The application of promoting the overall efficiency of the organization will lay a foundation for further research on the efficiency of the securities company counter personnel. The main innovation of this study is to creatively fluctuate the securities market. The implementation of supervision policy and other factors which have a great influence on the volume of business are applied to the performance management of the counter personnel of the securities company, so that the management of the over-the-counter personnel of the securities company can better reflect the fluctuating characteristics of the industry.
【学位授予单位】：福州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39;F272.92

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