论文以H证券公司营销人员作为研究对象，从证券营销人员具有较高 流动性、专业性较低，投资顾问人才缺口大，优秀营销人员不足等方面作为 研究 切入点，期望通过专业培训有效改善以上问题。采用了文献研究、实地 访谈、问卷调查等方法。研究发现H证券公司中外部营销人员占公司总营 销人员60%，专业培训是所有业务 人员中最为薄弱的。通过培训流程管理 对营销人员的培训需求、培训内容、培训方式方法、培训课程、培训讲师等 方面进行了具体分析，对培训项目的问题导向、针对性、实用 性等方面做了 相关研究，针对相关问题提出了具体改进措施。研究运用胜任力模型、人岗 匹配理论、培训需求分析、职业生涯理论等已有理论、模型，发现营销人员 业务能力提 升有限、自我开发不足的因素包括能力考察不足、缺乏职业规划、 岗位职责定位不清晰；此外，培训工作中还存在实用性低、需求分析笼统、 培训评估不足、知识讲解不透彻等 。对以上理论实际运用并提出了具体改进 方法，例如对培训教材进行专业分类、加强培训讲师队伍建设、增进营销人 员专业分析能力、提出可行评估方法等。总体对H证券公司营 销人员培训 工作有一定的促进作用。 关键词：H证券公司 营销人员 培训改进 能力提升 II RESEARCH ON IMPROVEMENT OF MARKETING PERSONNEL TRAINING OF H SECURITIES COMPANY ABSTRACT This paper takes the marketing personnel of H Securities Company as the research object, and takes the aspects of securities marketing personnel with high mobility, low professionalism, large talent gap of investment advisers, and insufficient outstanding marketing personnel as the research entry point, hoping to effectively improve the above problems through professional training. Literature research, field interview, questionnaire survey and other methods were used. The study found that in H Securities Company, external marketing personnel accounted for 60% of the total marketing personnel, and professional training was the weakest among all the business personnel. Through the training process management, the training needs, training contents, training methods, training courses, training instructors and other aspects of marketing personnel are specifically analyzed, and the training project's problem-orientation, pertinence, practicability and other aspects are studied, and specific improvement measures are proposed for the relevant problems. Based on the existing theories and models such as competency model, post matching theory, training demand analysis, and career theory, it is found that the factors of limited improvement of marketing personnel's business III ability and insufficient self-development include insufficient ability investigation, lack of career planning, and unclear position and responsibility positioning. In addition, there are also low practicability, general needs analysis, insufficient training evaluation and incomplete knowledge explanation. Put the above theories into practice and put forward specific improvement methods, such as professional classification of training materials, strengthening the construction of training instructor team, enhancing the professional analysis ability of marketing personnel, and putting forward feasible evaluation methods. In general, it has a certain promotion effect on the training of marketing personnel of H Securities Company. KEY WORDS: H securities company；Marketing personnel；Training and improvement；Ability to ascend I 目 录 摘要 ................................................................. I ABSTRACT .............................................................. II 第1章 绪论 ............................................................ 1 1.1 研究背景与问题提出 .................................................... 1 1.1.1 研究背景 ............................................................ 1 1.1.2 问题提出 ............................................................ 3 1.2 研究目标与研 究意义 .................................................... 4 1.2.1 研究目标 ............................................................ 4 1.2.2 研究意义 ............................................................ 7 1.3 研究内容与研究方法 .................................................... 8 1.3.1 研究内容 ............................................................ 8 1.3.2 研究思路与研究方法 .................................................. 9 第2章 理论基础与 相关研究状况 .......................................... 11 2.1 概念界定 ............................................................. 11 2.1.1 金融行业 ........................................................... 11 2.1.2 证券公司 ........................................................... 11 2.1.3 证券营销 ........................................................... 11 2.1.4 证券营销人员 ....................................................... 12 2.1.5 证券营销培 训 ....................................................... 12 2.2 相关理论及其指导作用 ................................................. 13 2.2.1 胜任力模型 （理论） ................................................. 13 2.2.2 人岗匹配理论 ....................................................... 13 2.2.3 培训需求模 型 ....................................................... 14 II 2.2.4 职业生涯理论 ....................................................... 14 2.3 国内外相关 研究现状述评 ............................................... 14 2.3.1 国内、外相关研究综述 ............................................... 15 2.3.2 对已有研 究的简评 ................................................... 17 第3章 H证券公司营销人员培训现状分析 ................................... 19 3.1 H证券公司简介 ....................................................... 19 3.1.1 发展历程与战略发展目标 ............................................. 19 3.1.2 业务重点与员工 概况 ................................................. 19 3.2 H证券公司培训现状调查分析 ........................................... 22 3.2.1 营销人员培训问卷 调查 ............................................... 23 3.2.2 实地访谈概况 ....................................................... 26 3.3 H证券公司现行培训内 容与效果 ......................................... 27 3.3.1 现行培训规划 ....................................................... 28 3.3.2 培训需求分析 ....................................................... 28 3.3.3 培训方式方法 ....................................................... 29 3.3.4 培训内容及课程 形式 ................................................. 29 3.3.5 培训实施效果 ....................................................... 30 3.3.6 培训效果评估 ....................................................... 31 3.4 现行培训存在的问题及其成因分析 ....................................... 31 3.4.1 缺乏与企业战略 发展目标相匹配的培训计划 ............................. 31 3.4.2 当前营销人员未达到职业标准要求 ..................................... 32 3.4.3 缺乏精准科学的 培训需求分析 ......................................... 32 3.4.4 师资队伍不能满足营销人员培训要求 ................................... 33 3.4.5 缺乏必要的营销 人员职业规划支持 ..................................... 34 3.4.6 缺乏与时俱进的培训教材 ............................................. 34 III 3.4.7 缺乏完整的 培训评估体系与跟踪 ....................................... 35 第4章 H证券公司营销人员培训改进措施 ................................... 36 4.1 科学合理制订营销 人员的培训规划 ....................................... 36 4.1.1 培训规划制定的依据 ................................................. 36 4.1.2 培训规划主要内 容 ................................................... 37 4.2 系统提升以满足市场需求的专业知识培训 ................................. 38 4.2.1 提升执业能力 ....................................................... 38 4.2.2 提升投资者教育能力 ................................................. 40 4.3 加强基于H证券公 司要求的胜任力培训需求分析 ........................... 41 4.3.1 战略发展需求分析 ................................................... 41 4.3.2 组织需求分析 ....................................................... 42 4.3.3 人员需求分析 ..........................