受益于中国经济的快速崛起，中国证券市场规模和行业盈利水平在过去的二 十多年间得到长足发展。而随着金融市场逐步放开牌照限制，越来越多的证券公 司加入到对经纪业务的竞争。高强度的市场竞争使得从业人员普遍背负了沉重的 绩效指标和考核压力，许多员工都存在心理压力大、工作满意度低等情况，近几 年来从业人员离职率居高不下成为了行业的普遍现象。 招商证券作为国内十大券商，其深圳分公司营销团队以拥有优秀的市场拓展 能力及专业的财富管理服务为业内所熟知。然而，近年来该团队的人员流失问题 却日益严峻。2017至2019年，招商证券深圳分公司营销团队人员流失率从28.84% 上升至57.90%，远高于同期全国其它分公司。该问题已导致其经纪业务的市场 占有率下降并影响企业的根本利益。作为中国证券经纪业务龙头券商，通过分析 研究招商证券深圳分公司营销团队人员流失的原因，找出防范和解决问题的措施， 这对招商证券乃至整个证券行业都具有重要意义。 本文从招商证券深圳分公司营销团队人力资源管理现状出发，采用理论分析 与实证研究相结合的方法，以人员流失理论、激励理论等相关理论为依据，开展 了员工工作满意度调查，找出影响员工流失的关键因素，并针对性地提出了人员 流失的防范对策。结合招商证券深圳分公司营销团队人力资源管理的现实情况， 本文从员工薪酬激励机制、职业发展通道、员工培训体系和企业文化建设等四方 面进行管理优化。同时，提高招聘匹配度和做好绩效督导沟通，可作为防范策略 的保障措施。 关键词：招商证券深圳分公司，营销团队，人员流失，防范对策 MBA学位论文 作者：陈水明 招商证券深圳分公司营销人员流失问题与防范对策研究 III RESEARCH ON THE LOSS OF MARKETING STAFF AND COUNTER MEASURES IN CHINA MERCHANTS SECURITIES SHENZHEN BRANCH Abstract Benefiting from the rapid rise of China's economy, the size of China's securities market and the level of profitability of the industry have grown significantly in the past two decades. With the gradual liberalization of license restrictions in the financial market, more and more securities companies have joined the competition for brokerage business. High-intensity market competition makes employees generally bear heavy performance indicators and evaluation pressures. Many employees have high psychological pressure and low job satisfaction. In recent years, the high turnover rate of employees has become a common phenomenon in the industry. China Merchants Securities, as one of the top ten domestic brokers, is well known in the industry for its Shenzhen branch marketing team with excellent market expansion capabilities and professional wealth management services. However, in recent years, the problem of staff turnover has become increasingly severe. From 2017 to 2019, the turnover rate of the marketing team of China Merchants Securities Shenzhen Branch increased from 28.84% to 57.90%, much higher than that of other branches throughout the country during the same period. This problem has led to a decline in the market share of its brokerage business and affected the fundamental interests of enterprises. As the leading securities broker in China's securities brokerage business, it is of great significance to China Merchants Securities and the entire securities industry to analyze and study the reasons for the loss of the marketing team of China Merchants Securities Shenzhen Branch and find out measures to prevent and solve problems. Based on the current situation of human resource management of the marketing team of China Merchants Securities Shenzhen Branch, this article uses a combination MBA学位论文 作者：陈水明 招商证券深圳分公司营销人员流失问题与防范对策研究 IV of theoretical analysis and empirical research, and based on staff turnover theory, incentive theory and other related theories, carried out employee job satisfaction survey to find out the impact The key factor of employee turnover, and put forward the prevention countermeasures of personnel turnover. Combining with the actual situation of human resource management of the marketing team of China Merchants Securities Shenzhen Branch, this article optimizes management from four aspects: employee compensation incentive mechanism, career development channel, employee training system and corporate culture construction. At the same time, improving the matching of recruitment and good performance supervision and communication can be used as a safeguard for preventive strategies. Keywords: China Merchants Securities Shenzhen Branch, marketing staff, staff turnover, prevention strategies MBA学位论文 作者：陈水明 招商证券深圳分公司营销人员流失问题与防范对策研究 V 目录 中文摘要 ................................................ II ABSTRACT ............................................... III 第一章绪论 ............................................... 1 1.1 选题背景 ...................................................... 1 1.2 研究意义 ...................................................... 2 1.2.1 理论意义 .................................................. 3 1.2.2 现实意义 .................................................. 3 1.3 研究方法 ...................................................... 4 1.3.1文献研究法 ................................................. 4 1.3.2 问卷调查法 ................................................ 4 1.3.3访谈法 ..................................................... 4 1.4 论文框架 ...................................................... 4 1.4.1研究内容 ................................................... 4 1.4.2研究思路 ................................................... 5 第二章相关理论综述 ....................................... 6 2.1人力资源的相关概念及特点 ...................................... 6 2.1.1 人力资源的概念 ............................................ 6 2.1.2 人力资源的特点 ............................................ 6 2.2 人员流失的概念及分类 .......................................... 7 2.2.1员工流失的概念 ............................................. 7 2.2.2 员工流失的分类 ............................................ 8 2.2.3 员工流失的危害 ............................................ 9 2.3员工流失的理论模型 ........................................... 10 MBA学位论文 作者：陈水明 招商证券深圳分公司营销人员流失问题与防范对策研究 VI 2.3.1员工流失的影响因素 ........................................ 10 2.3.2员工流失的过程理论 ........................................ 12 2.3.3员工流失管理理论 .......................................... 13 2.3.3.1人员流失的 Price-Mueller 理论模型 ..................... 13 2.3.3.2勒温场论 .............................................. 17 2.4员工激励理论 ................................................. 17 2.4.1马斯洛的需要层次理论 ...................................... 17 2.4.2 双因素理论 ............................................... 19 2.4.3 期望理论 ................................................. 21 2.4.4 公平理论 ................................................. 22 第三章招商证券深圳分公司营销人员流失现状及流失成因调查 .. 23 3.1招商证券深圳分公司营销团队人力资源现状 ....................... 23 3.1.1 招商证券经纪业务简介 ..................................... 23 3.1.2 深圳分公司营销团队发展历程 ............................... 23 3.1.3 深圳分公司营销团队组织架构 ............................... 24 3.1.4 深圳分公司营销团队的经营模式 ............................. 24 3.1.5招商证券深圳分公司营销团队人力资源现状 .................... 25 3.2 招商证券深圳分公司营销团队人员流失现状分析 ................... 27 3.2.1流失人员结构 .............................................. 29 3.2.2 流失人员特点 ............................................. 30 3.2.3营销人员流失对公司产生的影响 .............................. 32 3.3招商证券深圳分公司营销团队人员流失原因调查 ................... 34 3.3.1调查样本说明 .............................................. 34 3.3.2 调查数据分析 ............................................. 35 3.4招商证券深圳分公司营销团队人员流失原因分析 ................... 43 3.4.1证券经纪人流失内部原因分析 ................................ 43 MBA学位论文 作者：陈水明 招商证券深圳分公司营销人员流失问题与防范对策研究 VII 3.4.2证券经纪人流失外部原因分析 ................................ 48 第四章招商证券深圳分公司营销团队人员流失防范策略制定 .... 50 4.1制定营销人员流失防范策略的总体思路 .