CB证券公司M营业部投资顾问岗位管理研究

发布时间：2018-06-13 14:36

本文选题：证券公司 + 投资顾问　；参考：《河北工业大学》2012年硕士论文

【摘要】：我国证券市场与证券行业经历了快速发展的二十年，市场不断发展成熟，行业竞争日益激烈。由于市场环境和行业发展阶段的客观要求，迫切需要经纪业务转型。在固定佣金制度取消后，，证券公司之间的佣金战不断升级，佣金率几近成本。证券公司不得不改变原有的盈利模式，形成全新的核心竞争力，构建合理的收入模式。于是，2010年10月19日中国证监会颁布了《证券投资顾问业务暂行规定》，以改变证券公司传统经纪业务对佣金的依赖，促进专业理财服务成为核心竞争力，引导证券公司经营模式向服务收费转变，推动证券公司盈利模式的多元化发展。在证券投资顾问业务推出的一年后，各大证券公司仍处于探索阶段，且投资顾问人员存在着5.2万人的巨大缺口。本文通过对这些情况的分析，说明现阶段推出证券投资顾问业务的重要意义。在借鉴外国成熟投资顾问模式的基础上，对笔者所在证券公司M营业部进行岗位管理研究，主要通过对该岗位胜任力的分析，形成岗位说明书，进而对该岗位的人员招募与选拨、人员培训、绩效管理和薪酬设计加以分析。为笔者所在营业部投资顾问业务的发展寻找正确方向和方法，同时为其他公司投资顾问业务提供有效借鉴。为我国经纪业务顺利转型添砖加瓦，使我国证券行业发展能够适应国际化程度逐渐升级的市场环境。
[Abstract]:China's securities market and securities industry have experienced rapid development for 20 years, the market has been developing and maturing, and the industry competition is becoming increasingly fierce. Due to the market environment and the objective requirements of the industry development stage, the brokerage business transformation is urgently needed. After the elimination of the fixed commission system, the commission war between securities companies is escalating and commission rate is near cost. Securities companies have to change the original profit model, form a new core competitiveness, and build a reasonable revenue model. Thus, on October 19, 2010, the China Securities Regulatory Commission promulgated the "interim regulations on Securities Investment Advisory Business", in order to change the reliance of traditional brokerage business of securities companies on commissions and promote professional financial services to become the core competitiveness. Guide securities companies to change their business model to service charges, and promote the diversified development of the profit model of securities companies. One year after the launch of the securities investment advisory business, the major securities companies are still in the exploratory stage, and there is a huge gap of 52000 people in the investment advisers. Through the analysis of these situations, this paper explains the significance of introducing securities investment advisory business at the present stage. On the basis of using the mature foreign investment advisory model for reference, this paper studies the post management of M business department of my securities company, mainly through the analysis of the competency of the position, and forms the job description. Then analyze the recruitment and selection, personnel training, performance management and salary design. This paper tries to find the right direction and method for the development of the investment advisory business in the business department of the author, and at the same time to provide effective reference for the investment advisory business of other companies. It can contribute to the smooth transformation of our country's brokerage business and make the development of our country's securities industry adapt to the market environment in which the degree of internationalization is gradually upgraded.
【学位授予单位】：河北工业大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F272.92;F832.39

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