【作者】 李岩；

【导师】 郭玲玲；

【作者基本信息】 大连理工大学 ， 工商管理（专业学位）， 2023， 硕士

【摘要】 近年来,我国经济蓬勃发展,金融市场逐渐成熟,我国的证券领域也遇到前所未有的机会与风险。二零一八年我国银行理财打破刚性兑付的历史;二零二一年国家继续强调要切实遏制炒房。在多层政策下,虽然证券市场长期出现利好,但是由于中国金融产业的快速成长,大批的中小型证券公司涌现,互联网金融机构也纷纷进入经营证券公司业务领域。在中国市场剧烈的竞争条件下,Z证券公司要想持续市场领先的业务优势,就必须完善内部控制,并健全对销售部门的绩效考核管理体系,以提高运营效率。截至2022年初,Z证券公司的营业部数量合计为323家(包含证券营业部三百一十九家,期货营业部四家)。根据Z证券公司2021年年报数据显示,2021年Z证券的营业收入总计为841.89亿,其中经纪业务占比为28.38%,这一部分收入的主要贡献者就是一线的销售人员。由此可见,激发销售人员的工作热情并保持其对工作的积极性极为重要。由此,本论文拟运用激励和保健理论、马斯洛需求层次理论和目标管理理论等相关理论,结合文献研究法、案例分析法和问卷调查法等研究方法对Z证券公司绩效考核体系进行深入研究,分析得出考核体系存在的主要问题及其背后隐藏的根本原因,并在此基础上设计出对应的解决方案,构建更有效的绩效考核体系,旨在提升Z证券公司的经营业绩。通过对Z证券公司绩效考核体系满意度的调查分析发现,Z公司现有考核体系存在的问题主要包括考核内容过于复杂、过程管理指标设置不合理、缺乏必要的考核环节和考核结果运用不佳等。针对存在的问题进行剖析,得到导致问题出现的主要原因,即指标设定者销售经验不足、缺乏差异化管理理念、缺乏层级沟通过程和考核维度与考核结果运用过于单一等。在此基础上,从完善考核内容、优化考核流程、完善绩效评估与监控流程以及加强绩效考核结果的应用力度等方面出发提出现有绩效考核体系的优化方案。最后,从人员、制度和文化三个方面对提出的优化方案进行实施保障。本论文意在旨在优化Z证券公司原有的绩效考核体系,以降低员工的离职率、提升公司的人力资源管理能力,增加企业的整体竞争力。同时希望本论文能够为其他证券公司的绩效管理工作提供一些借鉴和帮助。更多还原

【Abstract】 For the past few years,China’s market economy has achieved a vigorous development,and the market economy is moving towards perfect.Besides,the financial market is also becoming gradually matured.China’s securities sector has also encountered unprecedented opportunities and risks.In 2018,China’s bank financial management broke through the history of rigid cashing;In 2021,China continued to stress the need to effectively curb real estate speculation.Under the multi-level policy,although the securities market has been positive for a long time,due to the prosperous of China’s economic industry market,an immense amount of small and medium-sized securities companies have rolled into this area.At the same time,institutions of Internet finance have also rushed to the field of securities companies’ business.Under such sharp competition conditions in Chinese economy market,it is necessary for Z Securities Company to strengthen its internal control and the performance appraisal management system for the sales department in order to enhance its operational efficiency if it wants to maintain its market leading business advantage.By the beginning of 2022,the total number of business departments of Z Securities Company was 323(including 319 securities business departments and four futures business departments).According to the 2021 annual report data of Z Securities,the operating revenue of Z Securities in 2021 was 84.189 billion,of which the brokerage business accounted for28.38%.The main contributor of this part of revenue was the front-line sales staff.It can be seen that it is extremely important to stimulate the enthusiasm of sales staff and maintain their enthusiasm for work.For this reason,this thesis is prepared to use the relevant theories such as Two-Factor Theory,Maslow’s hierarchy of needs theory and management by objectives,as well as integrate the research methods like literature study,case analyzing and questionnaire investigation to make a deeper research on the performance appraisal system of Z Securities Company and analyze the leading problems in the appraisal system and the root reasons behind it so as to propose corresponding solutions based on this,Build a more effective performance appraisal system to improve the operating performance of Z Securities Company.By means of the investigation and analysis of the satisfaction degree towards the performance appraisal system of Z Securities Company,it can be found that the existing problems of the present appraisal system of Z Securities Company mainly include the complexity of the appraisal content,the difficulty in completing the appraisal indicators,the unreasonable setting of the process management indicators,the deficiency in necessary appraisal process and the unsatisfactory application of the appraisal results.Based on the analysis of the existing problems,the main reasons for their occurrence are the lack of experience of the indicator setter,the deviation of the indicator setting from the actual situation of the salesperson,the lack of differentiated management concept,the lack of hierarchical communication process,and the too single use of assessment dimensions and results.On this basis,from the aspects of enriching the content of performance appraisal,optimizing the assessment process,strengthening the process of performance evaluation and monitoring,and improving the application of the performance assessment results,we propose the optimization scheme of the existing performance assessment system.In the end,in order to ensure the smooth implementation of the optimization plan,effective measures are proposed from three aspects of organization,system and culture.The purpose of this thesis is to optimize the original performance appraisal system of Z Securities Company,so as to cut down the turnover rate of employees,elevate the ability of human resources management of Z securities company,and improve the overall competitiveness of the Z securities company.In the meantime,I am in hope of this thesis can provide a little use of reference and help for the performance management of other securities companies.更多还原