SH证券营业部绩效考核改进措施研究

发布时间：2018-04-05 09:37

本文选题：绩效考核　切入点：关键绩效指标　出处：《西安理工大学》2017年硕士论文

【摘要】：近年来,国内证券行业在监管放松、金融创新高速发展的背景下迎来了快速的发展机遇,但同样也面临着行情大幅波动、互联网金融崛起等带来的风险加大、竞争白热化等问.题。人才和知识密集型是证券业的最大特点,人才和知识型员工的效率竞争成为了各家证券公司保持市场优势、提升竞争力的重要环节。SH证券营业部是国内行业排名前十位的大型综合性证券公司在宁夏银川设立的两家B型营业部之一,成立虽不到五年,但已取得了一定成效,但也面临着同质化竞争加剧、市场价格战激烈等发展瓶颈。本论文的研讨对象是:SH营业部现行绩效考核体系,希望能够通过对营业部考核指标评价体系制定、任务权重分配、考核流程、等方面进行优化,帮助SH营业部提升竞争力、实现经纪业务的转型发展、发挥出差异化的竞争优势。在借鉴国内外证券公司绩效考核工作的基础上,对SH营业部日常经营管理和绩效考核方案的实施进行分析后,论文认为,要从SH证券公司战略出发,明确营业部的业务考核体系,再从组织架构改善做起,制定全日制营销人员、财富管理人员、后台员工的不同绩效考核方案及薪酬制度进行优化,设计出更加注重过程管理、注重提升员工执业水平和专业知识的绩效考核指标方案,并提出打通前后台员工的转岗流动流程,稳定员工队伍,同时明确奖励激励方案,并提出了相应的保障办法。本论文基于SH证券营业部现行绩效考核体系的剖析,提出了相应的改良计划,为国内同类型营业部的绩效考核方案提供一定的理论参考。
[Abstract]:In recent years, the domestic securities industry in the background of relaxed supervision and rapid development of financial innovation ushered in a rapid development opportunity, but also faced with large fluctuations in the market, the rise of the Internet financial risks increased, competition intensified and so on.TitleTalent and knowledge-intensive are the biggest characteristics of the securities industry. The efficiency competition between talents and knowledge workers has become a market advantage for various securities companies.The securities business department of SH is one of the two B-type business departments set up in Yinchuan, Ningxia, by the top 10 comprehensive securities companies in the domestic industry. Although it has been established for less than five years, it has achieved certain results.But also faces the homogeneous competition intensifies, the market price war intense and so on development bottleneck.The object of this paper is the current performance appraisal system of the business department of: SH. We hope to optimize the evaluation system of the evaluation index of the business department, the assignment of task weight, the assessment process, and so on, in order to help SH department to enhance its competitiveness.To achieve the transformation and development of brokerage business, play out the competitive advantage of differentiation.On the basis of referring to the performance appraisal work of domestic and foreign securities companies, this paper analyzes the daily management of SH business department and the implementation of performance appraisal scheme, and points out that it is necessary to proceed from the strategy of SH securities company.Make clear the business appraisal system of the business department, start with the improvement of the organization structure, formulate the different performance appraisal plan and salary system of the full-time marketing personnel, wealth manager and backstage staff to optimize, design and pay more attention to the process management,Pay attention to the performance evaluation index scheme of improving the staff's practice level and professional knowledge, and put forward to open the turnover flow process of the front and rear staff, stabilize the staff team, at the same time, make clear the incentive scheme, and put forward the corresponding safeguard measures.Based on the analysis of the current performance appraisal system of SH securities sales department, this paper puts forward the corresponding improvement plan, which provides a certain theoretical reference for the performance appraisal scheme of the same kind of domestic business department.
【学位授予单位】：西安理工大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.39

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