發(fā)布時(shí)間：2018-06-25 22:33

  本文選題：證券公司 + 投資顧問(wèn)��； 參考：《南京大學(xué)》2017年碩士論文

【摘要】：2016年,資本市場(chǎng)風(fēng)起云涌,跌宕起伏,市場(chǎng)呈現(xiàn)出產(chǎn)品多樣化、業(yè)務(wù)及服務(wù)綜合化、盈利來(lái)源多元化的特征。一方面,整個(gè)證券市場(chǎng)競(jìng)爭(zhēng)異常激烈,過(guò)去以傭金價(jià)格戰(zhàn)為主的競(jìng)爭(zhēng)形式已經(jīng)不再適用。另一方面,國(guó)民收入迅速增長(zhǎng),出現(xiàn)了一批高凈值人群,于是催生了財(cái)富管理業(yè)務(wù)。投資顧問(wèn)是財(cái)富管理的實(shí)施主體,但問(wèn)題是人員流動(dòng)頻繁,普遍缺乏人才培養(yǎng)和激勵(lì)機(jī)制,績(jī)效管理體系不完善。本文以券商行業(yè)作為研究背景,將NJ公司投資顧問(wèn)績(jī)效管理作為研究對(duì)象,運(yùn)用績(jī)效管理理論、激勵(lì)理論,結(jié)合實(shí)際情況進(jìn)行分析和研究。通過(guò)國(guó)內(nèi)外文獻(xiàn)及做法的整理,將理論運(yùn)用到實(shí)踐中,對(duì)投資顧問(wèn)績(jī)效管理出現(xiàn)的問(wèn)題進(jìn)行深入的分析,并且提出相應(yīng)的意見(jiàn)和建議。NJ公司是集團(tuán)中業(yè)務(wù)模式最全、員工人數(shù)最多的分公司。投資顧問(wèn)作為龐大的高凈值客群的服務(wù)主體,是創(chuàng)造業(yè)務(wù)收入的主要群體。根據(jù)畢馬威事務(wù)所給出的人力資源咨詢服務(wù)反饋以及參考國(guó)內(nèi)外成熟的投資顧問(wèn)績(jī)效管理制度,聯(lián)系NJ公司目前實(shí)際情況,總結(jié)得出七個(gè)現(xiàn)存的問(wèn)題。通過(guò)分析投資顧問(wèn)的具體工作內(nèi)容、崗位特性以及績(jī)效管理體系的設(shè)計(jì)分析,定出原則,劃出重點(diǎn),給出完整的績(jī)效管理解決方案。在績(jī)效體系實(shí)施過(guò)程中,應(yīng)該注意戰(zhàn)略一致、責(zé)任明確、有效溝通。在績(jī)效管理方法選擇上,本方案采取綜合多種方法的考核方式,力求能夠準(zhǔn)確地反映投資顧問(wèn)的工作活動(dòng)全貌。結(jié)合激勵(lì)理論原則,考核結(jié)果應(yīng)被應(yīng)用在資源分配、薪酬分配、職級(jí)調(diào)整、員工培訓(xùn)及人才選拔等多個(gè)方面。投資顧問(wèn)績(jī)效管理的研究,撕開(kāi)了券商行業(yè)未來(lái)財(cái)富管理轉(zhuǎn)型升級(jí)的一角,以小見(jiàn)大、見(jiàn)微知著,對(duì)整個(gè)證券業(yè)經(jīng)紀(jì)業(yè)務(wù)發(fā)展的主流研究有著重要的價(jià)值。建立一套完善的績(jī)效管理體系,是提升投資顧問(wèn)團(tuán)隊(duì)競(jìng)爭(zhēng)力的必要保障。希望今后有更多的學(xué)者能夠繼續(xù)完善本文的研究,在投資顧問(wèn)績(jī)效考核、團(tuán)隊(duì)建設(shè)、職業(yè)發(fā)展規(guī)劃等領(lǐng)域有更深入的剖析和研究,幫助券商行業(yè)發(fā)揮人力資源中績(jī)效管理體系的更大價(jià)值。
[Abstract]:In 2016, the capital market is full of ups and downs. The market is characterized by diversification of products, integration of business and services, and diversification of profit sources. On the one hand, the competition in the whole securities market is extremely fierce, in the past, the form of competition based on commission price war is no longer applicable. On the other hand, the rapid growth of national income, the emergence of a group of high-net-worth people, thus spawning wealth management business. Investment adviser is the main body of wealth management, but the problems are frequent turnover, lack of talent training and incentive mechanism, and imperfect performance management system. In this paper, the securities industry as the research background, NJ investment consultant performance management as the object of study, using performance management theory, incentive theory, combined with the actual situation of analysis and research. Through the collation of domestic and foreign literature and practice, the theory is applied to practice, the problems of investment consultant performance management are analyzed in depth, and the corresponding opinions and suggestions are put forward. NJ company is the most complete business model in the group. The branch with the largest number of employees. As a large group of high net worth clients, investment advisers are the main group to generate business income. According to the feedback of human resource consulting service given by KPMG and the mature investment consultant performance management system at home and abroad, this paper summarizes seven existing problems by referring to the actual situation of NJ Company. Through the analysis of the specific work content, post characteristics and performance management system design of investment consultant, the principles and emphases are set out, and the complete performance management solution is given. In the performance system implementation process, should pay attention to strategic consistency, clear responsibility, effective communication. In the selection of performance management methods, this project adopts a comprehensive and multi-method evaluation method to accurately reflect the overall picture of investment advisers' work activities. Combined with the principle of incentive theory, the results of examination should be applied in many aspects, such as resource distribution, salary distribution, rank adjustment, staff training and talent selection and so on. The research of investment consultant performance management has torn apart the corner of the future wealth management transformation and upgrade of the securities industry. Through a small part, it can be seen as a whole and has great value to the mainstream research on the development of brokerage business in the whole securities industry. The establishment of a complete performance management system is the necessary guarantee to enhance the competitiveness of investment advisory team. I hope that more scholars can continue to improve the research in this paper, in the investment consultant performance appraisal, team building, career development planning and other areas of more in-depth analysis and research. To help the securities industry to play the greater value of the performance management system in human resources.
【學(xué)位授予單位】：南京大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F832.39;F830.42

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