近年来，证券行业因其薪酬方面的特殊性而愈来愈成为热门话题，行业薪酬的合 理性、薪酬体系与公司人力资源配置优化乃至其与公司战略间的关系等问题也越来越 受到专家、媒体和社会的广泛关注，因而研究证券业的薪酬对于认识证券业具有一定 的现实意义。 本文从薪酬理论的理论知识出发，从 N 证券公司基本情况、人员构成、战略目标 等方面出发，基于 N 证券公司内部环境和外部环境分析了公司的薪酬体系的特点并对 公司现有薪酬体系的效果进行了分析与诊断，从内部一致性、外部竞争性和薪酬组织 与公司战略匹配等方面评估了公司现行薪酬机制的实施效果并对公司存在的主要问 题进行了针对性分析，从而为完善该公司薪酬方案提供理论与数据基础。 本文试图解决的最重要问题是如何建立新的的薪酬体系能有效起到预定的优化 效果。笔者在对薪酬架构研究对存在的问题进行展开的基础上，分析了如何优化 N 公司现有薪酬管理体系设计，从而使得公司制度更科学合理、对员工更有激励。同时， 笔者利用主成分分析法 PCA 和层次分析法 AHP 建立了薪酬体系设计的普适性模型，为 N 证券公司的薪酬体系优化设计提供现实指导。其具体做法是，通过主成分分析法将 影响薪酬体系的多个评价指标聚类为几个对薪酬体系影响最大的主评价指标，随后针 对主评价指标使用层次分析法得出各个因子之间的权重关系，从而构建部门内部的薪 酬体系。 与以往的薪酬体系构建方法相比，基于 PCA-AHP 构建薪酬体系能够较好的量化某 些传统方法中不易量化的指标，且针对不同部门、不同时期和不同战略能够得到较为 合理的薪酬体系。 关键词：薪酬体系；证券行业；优化设计I ABSTRACT In recent years, the compensation of the securities industry has become a hot topic because of its particularity. To study about the compensation of securities industry has a certain practical significance for understanding of the securities industry. Based on the theoretical knowledge of compensation theory, this paper analyzes the characteristics of the company's compensation system based on the internal environment and external environment of N enterprises from the aspects of its basic situation, personnel composition, strategic objectives and the company's existing compensation system. The effect was analyzed and diagnosed, and the implementation effect of the company's current salary mechanism was evaluated from the aspects of internal consistency, external competitiveness, salary organization and company strategy matching, and the main problems of the company were analyzed. Improve the company's compensation program to provide theoretical and data foundation. The most important problem this paper attempted to solve is how to build a compensation system,and how to make that system effective. Based on sorting out the problems in the design of N Securities Company's existing compensation management system, the author analyzed how to optimize the existing system design, in order to make the company system more scientific,more reasonable,and more motivating to employees, At the same time the author built a pervasive model by using PCA and AHP in order to provide the practical guidance for the optimization design of N Securities Company's compensation system. The concrete method is that, through the principal component analysis, the multiple evaluation indexes that affect the compensation system are clustered into several main evaluation indicators,which have the greatest impact on the compensation system. Then the AHP is used to get the weight relationship among the factors, and then the compensation system is constructed within the department by using the analytic hierarchy process (AHP) for the main evaluation index. Compared with the previous compensation system construction methods, the compensation system based on PCA-AHP can better quantify the indicators that are not easy to quantify in some traditional methods, and can obtain a more reasonable compensation system for different departments, different periods and different strategies. KEY WORDS: compensation system; securities industry; optimization design1 目 录 第一章 绪论...................................................................................................1 第一节 研究背景及意义 ................................................................................................1 第二节 国内外研究综述 ................................................................................................2 一、国内相关研究综述................................................................................................2 二、国外相关研究综述................................................................................................3 第三节 研究内容和研究方法 ........................................................................................4 一、研究内容................................................................................................................4 二、研究方法................................................................................................................5 第二章 薪酬理论基础...................................................................................6 第一节 薪酬与薪酬设计 ................................................................................................6 一、薪酬的基本定义....................................................................................................6 二、薪酬与薪酬设计....................................................................................................6 三、薪酬设计程序........................................................................................................7 第二节 薪酬设计的相关理论 ........................................................................................8 一、公平理论................................................................................................................9 二、自助式薪酬理论..................................................................................................10 第三章 N 证券公司薪酬体系现状分析.....................................................13 第一节 公司概况 ..........................................................................................................13 一、公司基本情况......................................................................................................13 二、公司组织架构......................................................................................................13 三、公司人员构成情况..............................................................................................14 第二节 公司薪酬体系现状 ..........................................................................................15 一、公司薪酬体系构成..............................................................................................15 二、公司薪酬计算方法..............................................................................................15 第三节 N 证券公司薪酬体系问卷调查与问题分析...................................................17 一、公司薪酬体系问卷调查......................................................................................172 二、公司薪酬体系存在的问题总结.......................................................................... 19 第四章 N 证券公司薪酬体系优化设计.....................................................22 第一节 N 证券公司薪酬体系优化设计思路.............................................................. 22 一、N 证券公司薪酬体系优化设计目标.................................................................. 22 二、 N 证券公司薪酬体系优化指标选择................................................................ 23 第二节 N 证券公司薪酬模型构建方法...................................................................... 25 一、基于 PCA 的多指标聚类分析............................................................................ 25 二、AHP 在多指标评价模型构建中的应用............................................................. 26 第三节 N 证券公司薪酬体系优化策略...................................................................... 27 一、N 证券公司薪酬管理模型因子对激励性效果影响分析.................................. 27 二、N 证券公司薪酬管理模型因子权重调整.......................................................... 29 第四节 N 证券公司