来泽证券江苏分公司员工绩效管理政策变化的研究

【作者】 朱倩；

【导师】 刘洪；

【作者基本信息】 南京大学 ， 工商管理（MBA）（专业学位）， 2019， 硕士

【摘要】 来泽证券公司江苏分公司所处的证券行业具有周期性强、不确定高的特点,受到国内外经济环境、资本市场表现和监管环境等多方面因素影响。代买业务、投资收入和投行收入一直是行业的主要收入来源,但代买业务随着持续竞争和佣金费率的下滑贡献度持续下滑,投资收入与市场表现密切相关、贡献度波动较大,投行业务深受政策影响。自2012年创新大会以来,证券行业迎来了飞速的创新和发展,资产规模与业务规模快速增加,融资融券和股票质押等资本中介业务快速推进,互联网证券业务高速发展,资产管理业务增长显著,场外金融衍生品投资、另类投资等创新投资业务快速发展。但证券行业在享受制度红利的同时,也出现了一些乱象,经营风险不断加大。随着2015年开始监管的加强,行业开始回归本源,牌照红利一直以来都是行业的驱动因素,来泽证券自2016年下半年仅四个月的时间里获批新设88家营业部,成为当年获批券商中数量最多的一家证券,来泽证券如此大规模的申报新设分支机构,主要是由于来泽证券截止获批新设之前全国仅有70家营业部,相较于其他全国性、全牌照的券商而言,分支机构的数量确实较少,2016年股基成交较前一年有所下降仅占市场的1.4%,与其他大型券商存在显著的差距。为了适应本次获批新设分支机构,来泽证券公司下设一级分公司机构江苏分根据公司总部制定的绩效管理政策的框架制定了JS地区的绩效管理办法。伴随着大数据时代的到来,市场竞争的日趋激烈,绩效管理作为企业提高管理质量、促进员工绩效考核管理的重要工具显得越来越重要,绩效管理中绩效激励是追求工作效率的主要手段,随着市场经纪的全面发展,绩效激励变成越发困难:一方面必须承受日益严峻的成本压力,另一方面必须面对员工强烈的加薪愿望。绩效管理中对于激励绩效的制定变得尤为重要。绩效管理不仅是企业提高经营管理效率的重要手段。同时绩效考核也作为企业对于员工晋升和培训工作的依据;通过定期考核,可以使员工了解自身在哪些方面已有提高,在哪些方面还存在不足;绩效考核的结果和过程为员工提供了一个对企业提出质疑的机会;有机会揭示出员工的那些低效率行为,同事还可以帮助员工强化已有正确行为。绩效考核还是奖励的合理依据,在不同的绩效政策环境下,员工所受的激励程度及在其发挥的积极性也所有不同。绩效管理作为企业管理的关键一环,对于提升企业核心竞争力至关重要,有效的绩效管理能激发员工的工作潜能,使企业工作运转通畅、企业和个人绩效的双重提高,保证企业能够顺利地实现战略规划中的长期和短期目标,从而提高企业的竞争力。本文以来泽证券股份有限公司江苏分公司为研究对象,针对2016年底获批新设分支机构筹建运行初期的两年为研究期间,以江苏分根据公司总部的绩效管理政策制定出的不同时期的绩效管理政策为研究标的,重点从企业绩效管理与人员激励的角度出发,从江苏分公司绩效管理政策的设计、实施、考核及结果反馈等方面对来泽证券公司江苏分公司绩效考核的现状进行了分析。首先,本文采用比较分析法对江苏分公司试行的各绩效管理政策进行比较分析,结果表明公司绩效管理仍存在着与总体战略目标契合不足、指标设计不合理、考核过程不完善及反馈机制缺乏等问题,分析可能的原因主要是缺乏差异化管理观念、考虑因素不全面、目标性短视等。其次,针对存在的问题,结合规范分析和案例分析法方公司的绩效管理体系进行了改进,采用数据统计计算法对管理者重点专注的财务数据考核口径进按不同分配方式行了重新测算,体现员工激励在绩效管理中的重要性,并对各指标的权重进行了重新分配,使公司的绩效管理制度符合当前的行业环境和公司的战略规划。最后,为了促进绩来泽证券江苏分公司扩张期绩效管理体系的顺利实施提出了相应的优化措施,如提高管理层对除财务考核指标的重视、有效的员工激励、完善团队成长体系、完善薪酬设计体系、加强员工培训以配合企业战略目标的实施。更多还原

【Abstract】 Laize securities co.,LTD.Jiangsu branch is in the securities industry with strong periodicity and high uncertainty,which is affected by domestic and foreign economic environment,capital market performance,regulatory environment and other factors.Agent buying business,investment income and investment banking income have been the main sources of income for the industry.However,with continuous competition and the declining contribution of commission rate,agent buying business has been declining.Investment income is closely related to market performance and its contribution fluctuates a lot.Since innovation conference in 2012,innovation and development of the securities industry ushered in the rapid,rapidly increasing asset scale and the business scale,capital intermediary business such as the margin and stock pledge rapid advance,high-speed Internet securities business development,asset management business growth significantly,otc derivatives investment,alternative investment and innovation business rapid development.However,while the securities industry is enjoying the system dividend,some chaos also appears,and the business risks are increasing.As 2015 began to strengthen supervision,industry began to return to the origin,licence dividend has always been the driving factor of the industry,to ze securities since the second half of 2016,only four months in 88 approved the new sales,become the approved the largest number of a securities brokerage,securities to jersey on this scale,according to the newly established branch is mainly due to securities as approved by the New Jersey set before only 70 home sales across the country,compared with other national,full licence brokerage,the number of branches is less,2016 stocks closing down from a year earlier only account for 1.4% of the market,With other large brokerage there is a significant gap.In order to adapt to the new branch approved this time,laize securities co.,LTD has established a first-level branch office.Jiangsu branch has developed the performance management method of JS region according to the framework of the performance management policy formulated by the headquarters of the company.Along with the advent of the era of big data,increasingly fierce market competition,performance management as the enterprise improve the quality of management,promote the staff performance appraisal management an important tool to appear more and more important,performance management of performance incentive is a major means of pursuit of efficiency,with the all-round development of brokerage market,performance incentives to become increasingly difficult: on the one hand must withstand the growing cost pressure,on the other hand must face employees strong desire for a pay rise.In performance management,the formulation of incentive performance becomes particularly important.Performance management is not only an important means for enterprises to improve management efficiency.At the same time,performance appraisal also serves as the basis for the promotion and training of employees.Through regular assessment,employees can know which aspects have been improved and which aspects are still insufficient.The results and process of performance appraisal provide employees with an opportunity to question the enterprise.Having the opportunity to expose employees’ inefficient behaviors,colleagues can also help employees reinforce their existing behaviors.Performance appraisal is also a reasonable basis for rewards.In different performance policy environments,the degree of motivation and the enthusiasm of employees are also different.Performance management as a key element in enterprise management,is very important to improve enterprise core competitive ability,effective performance management can stimulate the employees’ potential,make the work smooth operation,enterprise and individual performance improved,ensure that enterprises can successfully achieve long-term and short-term goal of strategic planning,so as to improve the competitiveness of the enterprises.This article since ze securities co.,LTD.,jiangsu branch as the research object,aimed at the end of 2016,approved by the newly established branch at the early stage of the planning run for two years during the study period,jiangsu branch according to the performance management policy of a company’s headquarters in different period of performance management policy as the research target,from the perspective of enterprise performance management and employee incentive,from the design of the jiangsu branch performance management policy,implementation,evaluation and feedback the results of the jiangsu branch of performance appraisal to ze securities firms were analyzed.First,this paper USES the comparative analysis of the jiangsu branch on a trial basis the performance management policy comparative analysis,the results show that the company performance management still exist and the lack of overall strategic target,making the index design is not reasonable,the evaluation process is not perfect and the lack of feedback mechanism,analyses the possible reasons is the lack of differentiation management idea,the consideration not comprehensive,targeted myopia,etc.Secondly,in view of existing problems,and combining the normative analysis and case analysis of the French company performance management system is improved,by the method of statistical calculation,evaluation caliber managers mainly focus on financial data into the calculation,according to the different ways of distribution line reflects the importance of employee motivation in performance management,and to redistribute the weight of each index,make the company performance management system is in line with the current industry environment and the strategic planning of the company.Finally,in order to promote the performance to ze securities jiangsu branch expansion the smooth implementation of performance management system put forward the corresponding optimization measures,such as improving the management emphasis on except the financial appraisal indexes and effective employee incentive,improve the team growth system,perfect the compensation system design,strengthening the staff training in order to coordinate the implementation of the enterprise strategic target.更多还原