XX证券营业部投资顾问招聘问题研究

发布时间：2018-01-01 05:00

本文关键词：XX证券营业部投资顾问招聘问题研究　出处：《兰州大学》2012年硕士论文　论文类型：学位论文

【摘要】：目前证券公司正面临着日益激烈的竞争,经纪业务佣金费率下滑已成为不可逆转的趋势,券商过分依赖传统经纪业务佣金收入的盈利模式面临生存挑战,经纪业务经营模式的转型势在必行。监管部门发布的《证券投资顾问业务暂行规定》为券商经纪服务转型带来了指引,投资顾问的推出成为提升专业化理财和个性化咨询服务的关键。如何能招聘到符合要求的投资顾问成为大部分券商经纪业务转型的瓶颈。地处西北的xx证券营业部就面临着投资顾问紧缺的问题,而招聘合格的投资顾问并不是一件很容易的事,本文提出如何从上百人的营销队伍里挖掘投资顾问人才的思路。本文通过引入人力资源相关理论和业务流程再造理论对XX证券营业部投资顾问招聘问题进行分析研究,通过与美国证券市场证券经纪人的发展及现状的对比,寻找XX证券营业部的问题,借鉴美国的优秀经验结合我国的国情提出xx证券营业部招聘投资顾问的改进措施,除了通过从外部招聘投资顾问的方式外,主要是通过从XX证券营业部内部营销人员中招聘投资顾问,尽管营销和投资顾问最终都是以给证券公司带来利润为目标,但毕竟现有的营销人员和投资顾问是两个不同的管理和运作模式,所以对营销人员和投资顾问的业务素质上要求还是有很大的差距。通过对优秀的营销人员进行竞聘、培训、试用、考核以及最终转投资顾问等一系列的方式将优秀的营销员工变成投资顾问。用这种方式既能培养了投资顾问人才又能贮备了投资顾问人才,即节省时间又节省费用以及人力。展望未来,中国的证券行业最终的发展还是会和国际接轨,最终还是以服务导向为主,对客户的财富管理,也就是投资理财的服务将是未来给证券行业经纪业务带来收入的主要来源。中国现阶段的证券经纪业务面临的就是服务转型的问题,而服务转型最关键的就是服务型人才也就是投资顾问,所以培养投资顾问也是券商未来服务转型的关键。
[Abstract]:At present, the securities companies are facing increasingly fierce competition, the brokerage commission rate of decline has become an irreversible trend, over reliance on the traditional securities brokerage commission income profit model face the challenge of survival, it is imperative to transformation of business model. The regulatory authorities issued "Interim Provisions on the securities investment consulting business of securities brokerage service transformation brought the introduction of guidelines, investment advisers become the key to enhance professional financial management and personalized consulting services. How can recruit to meet the requirements of the investment advisory business has become a bottleneck of most securities business transformation Ji.
Located in the northwest of the XX securities business department is facing the problem of shortage of investment advisers, and recruitment of qualified investment adviser is not an easy thing, this paper puts forward how to mining investment advisory personnel from hundreds of marketing team in thinking. Through the introduction of human resources theory and the theory of business process reengineering of XX securities the investment advisory business department recruitment problems were analyzed. By comparing the present situation and development of the securities market with the United States securities broker, for XX securities business department, from the improvement of America's experience combined with China's national conditions and put forward the XX securities business department to recruit investment advisers, in addition to the recruitment investment adviser from the outside the way that is mainly through the recruitment of investment advisers from the internal marketing personnel of XX securities business department, although marketing and investment advisers are ultimately to bring benefit to the securities company Run as the goal, but after all the existing marketing personnel and investment advisers are two different management and operation mode, so the marketing personnel and investment advisory business quality requirements is still a great gap. Based on the excellent marketing personnel competition, training, examination and trial, eventually turning to a series of investment advisers the outstanding marketing staff into investment advisers. Can not only cultivate the talents and reserve the investment adviser investment advisory talent in this way, save time and save cost and manpower.
In the future, the development of the securities industry will China and international standards, and ultimately to service oriented, wealth management for customers, is to invest in financial services will be the future to bring the main source of income to the securities industry. Facing the securities brokerage business China stage is service restructuring. While the service transformation is the key of service personnel is the investment adviser, investment advisers and brokers so the key to training future service transformation.

【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51;F272.92

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