在互联网券商“价格战”的不断冲击下，传统大型券商经纪业务转型，投资顾问 团队逐渐成为券商经纪业务的核心主力，高素质专业化的投资顾问团队取代低端粗 放式销售模式成为各大券商的战略选择。由于投资顾问具有高学历、高素质、专业 性和学习力等特点，非物质激励在投资顾问团队管理中起到关键作用。因此，研究 投资顾问非物质激励具有重要的现实意义。 本文依据团队管理及激励相关理论，以 GX 证券公司投资顾问为主要研究对象， 对其非物质激励进行系统研究。首先，运用文献研究法对相关理论及其研究进行系 统梳理和文献综述，在此基础上提出本文研究的理论框架。其次，运用实证研究方 法，分析 GX 证券公司投资顾问团队非物质激励的现状，剖析了公司现有非物质激 励体系设计及方案实施中存在的主要问题和原因，总结提炼出 18 项非物质激励因 素。再次，通过问卷调查法对投资顾问非物质激励的需求、满意度、激励力进行了 分析，在此基础上，通过因子分析法得出关于 GX 证券公司投资顾问非物质激励因 子，构建出 GX 证券公司投资顾问非物质激励模型。最后，依据模型提出了 GX 证 券公司投资顾问非物质激励体系优化的对策建议。 本文对 GX 证券投资顾问非物质激励的研究，旨在丰富团队管理及相关激励理 论，为企业在打造高绩效团队激励过程中的非物质激励提供借鉴，同时也为转型期 的券商经纪业务团队人力资源管理提供决策参考。 关键词：GX 证券公司 投资顾问 非物质激励II 华 中 科 技 大 学 硕 士 学 位 论 文 Abstract Under the constant impact of the price war of Internet Securities Companies, the brokerage business of traditional largest Securities Companies has been transformed. The Financial Consultants Team has gradually become the core of the brokerage business of Securities Companies. The high-quality professional Financial Consultants Team has replaced the low-end extensive sales model as the strategic choice of Securities Companies. As Financial Consultants have high educational background, high quality, professionalism and learning ability, non-material incentives play a key role in the management of Financial Consultants Team. Therefore, it is of great practical significance to study the non-material incentives of Financial Consultants. Based on the theory of team management and incentive, this thesis takes Financial Consultants of GX Securities Company as the main research object, and systematically studies its non-material incentives. Firstly, the related theories and research are systematically sorted out and reviewed by using the method of literature research. On this basis, the theoretical framework of this study is put forward. Secondly, using empirical research method, this thesis analyses the current situation of non-material incentives of Financial Consultants Team of GX Securities Company, the main problems and reasons in the design and implementation of the existing non-material incentive system, summarizes and extracts 18 non-material incentive factors. Thirdly, this thesis analyses the demand, satisfaction and motivation of the non-material incentive of Financial Consultants in GX Securities Company by questionnaire survey. On this basis, the non-material incentive factors of Financial Consultants in GX Securities Company are obtained by factors analysis method, and the non-material incentive model of Financial Consultants in GX Securities Company is constructed. Finally, according to the model, this thesis puts forward some countermeasures and suggestions for optimizing the non-material incentive system of Financial Consultants in GX Securities Company.III 华 中 科 技 大 学 硕 士 学 位 论 文 The purpose of this thesis is to enrich the theory of team management and related incentive, to provide reference for enterprises in the process of building high-performance team incentive, and to provide decision-making reference for human resource management of brokerage business team in the transitional period. Key words: GX Securities Company Financial Consultants Non-material incentivesIV 华 中 科 技 大 学 硕 士 学 位 论 文 目录 摘要...............................................................................................................I ABSTRACT................................................................................................... II 目录................................................................................................................IV 图目录............................................................................................................VI 表目录...........................................................................................................VII 1 绪 论.........................................................................................................1 1.1 研究背景与目的意义 ...........................................................................1 1.2 文献综述 ...............................................................................................4 1.3 本文的研究方法和思路.........................................................................6 2 GX 证券公司概况及其投资顾问团队非物质激励现状.........................9 2.1 GX 证券公司概况 ................................................................................9 2.2 GX 证券投资顾问团队基本结构和特点 ..........................................11 2.3 GX 证券公司投资顾问团队激励现状 ..............................................15 2.4 GX 证券投资顾问团队激励存在的问题 ..........................................17 3 GX 证券公司投资顾问团队非物质激励需求分析...............................20 3.1 问卷设计及调查对象选取 .................................................................20 3.2 问卷统计分析 .....................................................................................25V 华 中 科 技 大 学 硕 士 学 位 论 文 3.3 研究结论 .............................................................................................28 4 GX 证券公司投资顾问非物质激励因素模型构建...............................30 4.1 意义与思路 .........................................................................................30 4.2 非物质激励因素分析 .........................................................................30 4.3 研究结论及模型构建 .........................................................................40 5 GX 证券公司投资顾问团队非物质激励对策建议...............................42 5.1 营造高绩效组织文化 .........................................................................42 5.2 挑战性的工作激励 .............................................................................45 5.3 打造学习型组织 .................................................................................46 致 谢.............................................................................................................48