【作者】 陈璐；

【导师】 杜亚娜；

【作者基本信息】 郑州大学 ， 工商管理硕士（专业学位）， 2025， 硕士

【摘要】 改革开放40余年以来,我国逐渐转向市场经济并开始融入全球化,与此同时我国银行业不断蓬勃壮大,为我国经济和社会的健康发展做出了重要贡献。人才作为银行发展的首要资源,在近些年传统银行推进转型升级的过程中重要性越发凸显。本文中债券交易员作为全行最核心的岗位之一,为L银行金融市场业务发展贡献了重要力量,也是L银行激烈的市场竞争中脱颖而出的重要优势。银行应高度重视对人才的管理,建立健全的绩效考核体系,以促进债券交易员队伍的效能提升和全行的可持续发展。本文以L银行债券交易员为研究对象,基于胜任力模型及绩效考核相关理论,通过文献研究法、关键事件访谈法等研究方法,明确了L银行债券交易员绩效考核体系现状,总结出当前考核体系存在绩效考核主体过于单一、绩效考核指标覆盖不全面、绩效考核结果未能有效运用、绩效考核缺乏反馈机制4个问题,并从文化层面组织观念落后、机制层面存在缺陷、技术层面工具支撑不足3个角度剖析了问题产生的主要原因。针对以上问题和原因,通过构建债券交易员胜任力模型进行优化。首先通过行业数据以及公司战略分析提取部分胜任力要素,又利用关键事件访谈法,与绩优、绩平两组交易员开展深入交流,提取了专业技能、业务发展、个人特质、团队协作等4个维度共14个方面的胜任力要素,运用层次分析法确定了模型中各个要素的权重,构建了交易员胜任力模型。基于此模型对当前债券交易员绩效考核中存在的问题进行了针对性优化,再通过加强绩效考核文化建设、建立绩效考核监督与申诉机制、搭建绩效考核信息系统等三项保障措施,确保绩效考核方案能够落地。本文的研究目的和价值在于为解决L银行债券交易员绩效考核提出具体的可行性方案。基于胜任力模型的绩效考核体系通过“能力-行为-结果”的闭环管理,将绩效考核从单一的结果问责升级为持续的能力发展系统,尤其适用于债券交易员这一知识密集型岗位,帮助L银行在不确定的市场中构建“高能力-高绩效-高韧性”的人才梯队,对于L银行的绩效管理和人才培养同样具有重要意义。更多还原

【Abstract】 Since the reform and opening up for more than 40 years,China has gradually shifted to a market economy and begun to integrate into globalization,and at the same time,China’s banking industry has continued to flourish and made important contributions to the healthy development of China’s economy and society.Talents,as the primary resource of bank development,have become more and more important in the process of transformation and upgrading of traditional banks in recent years.The bond trader in this paper,as one of the most core positions in the whole bank,contributes important power to the development of Bank L’s financial market business,and is also an important advantage for Bank L to stand out in the fierce market competition.Banks should attach great importance to the management of talents and establish a sound performance appraisal system in order to promote the effectiveness of the bond trader team and the sustainable development of the whole bank.This paper takes the bond traders of Bank L as the research object,based on the competency model and relevant theories of performance appraisal,through literature research method,key event interview method and other research methods,it clarifies the current situation of the performance appraisal system of bond traders of Bank L.It summarizes that there are four main problems in the current appraisal system:the subject of performance appraisal is too singular,the coverage of performance appraisal indexes is not comprehensive,the results of performance appraisal can not be effectively used,and the lack of feedback mechanism in performance appraisal.It also analyzes the main reasons for the problems from the perspectives of backward organizational concepts at the cultural level,defects at the mechanism level,and insufficient tool support at the technical level.Aiming at the above problems and reasons,we optimize the bond trader competency model by constructing it.Firstly,we extracted some competency elements through industry data and company strategy analysis,and then we conducted in-depth exchanges with two groups of traders with good and average performance by using the key event interview method,extracted a total of 14 competency elements in four dimensions,such as professional skills,business development,personal attributes,teamwork,etc.,and then we used the hierarchical analysis method to determine the weights of the elements in the model and constructed the competency model of the traders.Based on this model,the problems existing in the current bond trader performance appraisal are optimized,and then three safeguard measures are taken to ensure that the performance appraisal program can be put into practice by strengthening the construction of performance appraisal culture,establishing performance appraisal supervision and complaint mechanism,and setting up performance appraisal information system.The purpose and value of this paper is to propose a specific feasible solution to solve the performance appraisal of bond traders in Bank L.The performance appraisal system based on competency model upgrades the performance appraisal from a single result accountability to a continuous competency development system through the closed-loop management of“competency-behavior-results”,which is especially suitable for the knowledge-intensive position of bond traders,and helps Bank L to build a talent ladder of“high competency,high performance,and high resilience”in the uncertain market.It helps Bank L to build a talent echelon of“high competence-high performance-high resilience”in an uncertain market,which is also of great significance to Bank L’s performance management and talent development.更多还原