NJ公司投资顾问绩效管理研究

发布时间：2018-06-25 22:33

本文选题：证券公司 + 投资顾问　；参考：《南京大学》2017年硕士论文

【摘要】：2016年,资本市场风起云涌,跌宕起伏,市场呈现出产品多样化、业务及服务综合化、盈利来源多元化的特征。一方面,整个证券市场竞争异常激烈,过去以佣金价格战为主的竞争形式已经不再适用。另一方面,国民收入迅速增长,出现了一批高净值人群,于是催生了财富管理业务。投资顾问是财富管理的实施主体,但问题是人员流动频繁,普遍缺乏人才培养和激励机制,绩效管理体系不完善。本文以券商行业作为研究背景,将NJ公司投资顾问绩效管理作为研究对象,运用绩效管理理论、激励理论,结合实际情况进行分析和研究。通过国内外文献及做法的整理,将理论运用到实践中,对投资顾问绩效管理出现的问题进行深入的分析,并且提出相应的意见和建议。NJ公司是集团中业务模式最全、员工人数最多的分公司。投资顾问作为庞大的高净值客群的服务主体,是创造业务收入的主要群体。根据毕马威事务所给出的人力资源咨询服务反馈以及参考国内外成熟的投资顾问绩效管理制度,联系NJ公司目前实际情况,总结得出七个现存的问题。通过分析投资顾问的具体工作内容、岗位特性以及绩效管理体系的设计分析,定出原则,划出重点,给出完整的绩效管理解决方案。在绩效体系实施过程中,应该注意战略一致、责任明确、有效沟通。在绩效管理方法选择上,本方案采取综合多种方法的考核方式,力求能够准确地反映投资顾问的工作活动全貌。结合激励理论原则,考核结果应被应用在资源分配、薪酬分配、职级调整、员工培训及人才选拔等多个方面。投资顾问绩效管理的研究,撕开了券商行业未来财富管理转型升级的一角,以小见大、见微知著,对整个证券业经纪业务发展的主流研究有着重要的价值。建立一套完善的绩效管理体系,是提升投资顾问团队竞争力的必要保障。希望今后有更多的学者能够继续完善本文的研究,在投资顾问绩效考核、团队建设、职业发展规划等领域有更深入的剖析和研究,帮助券商行业发挥人力资源中绩效管理体系的更大价值。
[Abstract]:In 2016, the capital market is full of ups and downs. The market is characterized by diversification of products, integration of business and services, and diversification of profit sources. On the one hand, the competition in the whole securities market is extremely fierce, in the past, the form of competition based on commission price war is no longer applicable. On the other hand, the rapid growth of national income, the emergence of a group of high-net-worth people, thus spawning wealth management business. Investment adviser is the main body of wealth management, but the problems are frequent turnover, lack of talent training and incentive mechanism, and imperfect performance management system. In this paper, the securities industry as the research background, NJ investment consultant performance management as the object of study, using performance management theory, incentive theory, combined with the actual situation of analysis and research. Through the collation of domestic and foreign literature and practice, the theory is applied to practice, the problems of investment consultant performance management are analyzed in depth, and the corresponding opinions and suggestions are put forward. NJ company is the most complete business model in the group. The branch with the largest number of employees. As a large group of high net worth clients, investment advisers are the main group to generate business income. According to the feedback of human resource consulting service given by KPMG and the mature investment consultant performance management system at home and abroad, this paper summarizes seven existing problems by referring to the actual situation of NJ Company. Through the analysis of the specific work content, post characteristics and performance management system design of investment consultant, the principles and emphases are set out, and the complete performance management solution is given. In the performance system implementation process, should pay attention to strategic consistency, clear responsibility, effective communication. In the selection of performance management methods, this project adopts a comprehensive and multi-method evaluation method to accurately reflect the overall picture of investment advisers' work activities. Combined with the principle of incentive theory, the results of examination should be applied in many aspects, such as resource distribution, salary distribution, rank adjustment, staff training and talent selection and so on. The research of investment consultant performance management has torn apart the corner of the future wealth management transformation and upgrade of the securities industry. Through a small part, it can be seen as a whole and has great value to the mainstream research on the development of brokerage business in the whole securities industry. The establishment of a complete performance management system is the necessary guarantee to enhance the competitiveness of investment advisory team. I hope that more scholars can continue to improve the research in this paper, in the investment consultant performance appraisal, team building, career development planning and other areas of more in-depth analysis and research. To help the securities industry to play the greater value of the performance management system in human resources.
【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.39;F830.42

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