本文選題：證券公司 + 投資顧問(wèn)�。� 參考：《河北工業(yè)大學(xué)》2012年碩士論文

【摘要】：我國(guó)證券市場(chǎng)與證券行業(yè)經(jīng)歷了快速發(fā)展的二十年，市場(chǎng)不斷發(fā)展成熟，行業(yè)競(jìng)爭(zhēng)日益激烈。由于市場(chǎng)環(huán)境和行業(yè)發(fā)展階段的客觀要求，迫切需要經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型。在固定傭金制度取消后，，證券公司之間的傭金戰(zhàn)不斷升級(jí)，傭金率幾近成本。證券公司不得不改變?cè)械挠Ｊ�，形成全新的核心�?jìng)爭(zhēng)力，構(gòu)建合理的收入模式。于是，2010年10月19日中國(guó)證監(jiān)會(huì)頒布了《證券投資顧問(wèn)業(yè)務(wù)暫行規(guī)定》，以改變證券公司傳統(tǒng)經(jīng)紀(jì)業(yè)務(wù)對(duì)傭金的依賴(lài)，促進(jìn)專(zhuān)業(yè)理財(cái)服務(wù)成為核心競(jìng)爭(zhēng)力，引導(dǎo)證券公司經(jīng)營(yíng)模式向服務(wù)收費(fèi)轉(zhuǎn)變，推動(dòng)證券公司盈利模式的多元化發(fā)展。在證券投資顧問(wèn)業(yè)務(wù)推出的一年后，各大證券公司仍處于探索階段，且投資顧問(wèn)人員存在著5.2萬(wàn)人的巨大缺口。本文通過(guò)對(duì)這些情況的分析，說(shuō)明現(xiàn)階段推出證券投資顧問(wèn)業(yè)務(wù)的重要意義。在借鑒外國(guó)成熟投資顧問(wèn)模式的基礎(chǔ)上，對(duì)筆者所在證券公司M營(yíng)業(yè)部進(jìn)行崗位管理研究，主要通過(guò)對(duì)該崗位勝任力的分析，形成崗位說(shuō)明書(shū)，進(jìn)而對(duì)該崗位的人員招募與選撥、人員培訓(xùn)、績(jī)效管理和薪酬設(shè)計(jì)加以分析。為筆者所在營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)的發(fā)展尋找正確方向和方法，同時(shí)為其他公司投資顧問(wèn)業(yè)務(wù)提供有效借鑒。為我國(guó)經(jīng)紀(jì)業(yè)務(wù)順利轉(zhuǎn)型添磚加瓦，使我國(guó)證券行業(yè)發(fā)展能夠適應(yīng)國(guó)際化程度逐漸升級(jí)的市場(chǎng)環(huán)境。
[Abstract]:China's securities market and securities industry have experienced rapid development for 20 years, the market has been developing and maturing, and the industry competition is becoming increasingly fierce. Due to the market environment and the objective requirements of the industry development stage, the brokerage business transformation is urgently needed. After the elimination of the fixed commission system, the commission war between securities companies is escalating and commission rate is near cost. Securities companies have to change the original profit model, form a new core competitiveness, and build a reasonable revenue model. Thus, on October 19, 2010, the China Securities Regulatory Commission promulgated the "interim regulations on Securities Investment Advisory Business", in order to change the reliance of traditional brokerage business of securities companies on commissions and promote professional financial services to become the core competitiveness. Guide securities companies to change their business model to service charges, and promote the diversified development of the profit model of securities companies. One year after the launch of the securities investment advisory business, the major securities companies are still in the exploratory stage, and there is a huge gap of 52000 people in the investment advisers. Through the analysis of these situations, this paper explains the significance of introducing securities investment advisory business at the present stage. On the basis of using the mature foreign investment advisory model for reference, this paper studies the post management of M business department of my securities company, mainly through the analysis of the competency of the position, and forms the job description. Then analyze the recruitment and selection, personnel training, performance management and salary design. This paper tries to find the right direction and method for the development of the investment advisory business in the business department of the author, and at the same time to provide effective reference for the investment advisory business of other companies. It can contribute to the smooth transformation of our country's brokerage business and make the development of our country's securities industry adapt to the market environment in which the degree of internationalization is gradually upgraded.
【學(xué)位授予單位】：河北工業(yè)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：F272.92;F832.39

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