I 摘要 企业的发展离不开人才，它是企业发展的不竭动力。证券行业属于人才密集 型行业更需要人才的积累。随着我国证券市场经济的逐步成熟，新股发行量屡创 新高，不同经济模式、不同经纪产品的日益增多，给证券市场带来更好的发展机 遇。随着股指期货、融资融券、创业板、科创板等新业务的上线，也给证券行业 带来更激烈的竞争环境，各大券商为了更好的吸引和留住人才，不惜重金纷纷开 出诱人的条件，严重导致大量人才在券商公司不断跳槽，最终形成人才流失现象。 根据证券业发展的特点和在AX证券公司工作的实际情况，以AX证券公司出 现的人才流失问题为样本，对AX证券公司出现的人才流失问题及对策进行研究。 AX证券公司是大型国有证券公司，随着公司实力的不断增强，网点建设的日益增 加，人才流失现象也日渐突出，本文通过对流失人员离职原因的调查分析，汇总 调查数据结果以及结合政策环境、行业环境和公司内部原因对AX出现的人才流失 问题进行综合分析，并提出相应的改进措施。 本文主要采用文献归纳法对国内外人才流失相关理论研究成果进行了归纳总 结。通过实地调研法分析了AX公司人才流失的现象，逐步确定了AX公司人才流 失的主要原因，结合对公司现状分析的结果，从人力资源开发的角度出发，提出 了相应的对策和改进方案及措施。在实践中，通过个人调查，对我国证券企业人 才流失问题提出了创造性和建设性的建议，希望为解决我国证券企业人才流失问 题提供一些支持和帮助。 关键词：证券行业；人才流失；对策 Abstract II Abstract Thedevelopmentofanenterpriseisinseparablefromtalents,anditisan inexhaustiblemotiveforceforthedevelopmentofenterprises.Thesecuritiesindustry isatalent-intensiveindustrythatrequirestheaccumulationoftalent.Withthegradual maturityofChina'ssecuritiesmarketeconomy,newstockissuancehashitrecord highs,anddifferenteconomicmodelsanddifferentbrokerageproductsareincreasing, whichbringsbetterdevelopmentopportunitiestothesecuritiesmarket.Withthe launchofnewbusinessessuchasstockindexfutures,marginfinancingandsecurities lendingandscienceandtechnology,ithasalsobroughtamorecompetitive environmenttothesecuritiesindustry.Inordertoattractandretaintalents,major brokershavesparednoexpense.Thetemptingconditionshaveledtoalargenumber oftalentscontinuallychangingjobsinbrokeragecompanies,whicheventuallyledto thephenomenonofbraindrain. Accordingtothecharacteristicsofthedevelopmentofthesecuritiesindustryand theactualsituationoftheworkinAXSecurities,thepaperanalyzesthebraindrain problemofAXSecuritiesCompanyasasample,andstudiesthebraindrainproblem andcountermeasuresofAXSecurities.AXSecuritiesCompanyisalargestate-owned securitiescompany.Withthecontinuousenhancementofthecompany'sstrength,the constructionofoutletsisincreasing,andthephenomenonofbraindrainisbecoming moreandmoreprominent.Thispaperanalyzestheresultsofsurveydataand integratesthepolicyenvironmentwiththeanalysisofthereasonsfortheturnoverof lostemployees.Theindustryenvironmentandinternalreasonsforthecompanyhave comprehensivelyanalyzedthebraindrainproblemofAXandproposedcorresponding improvementmeasures. Thispapermainlyusestheliteratureinductionmethodtosummarizethe theoreticalresearchresultsofbraindrainathomeandabroad.Throughthefield researchmethod,thephenomenonofbraindrainofAXcompanywasanalyzed,and themainreasonforthebraindrainofAXcompanywasgraduallydetermined.Based ontheanalysisofthecurrentsituationofthecompany,fromtheperspectiveofhuman resourcedevelopment,thecorrespondingcountermeasuresandimprovementplans andmeasureswereproposed.Inpractice,theauthorputsforwardcreativeand Abstract III constructivesuggestionsonthebraindrainofChina'ssecuritiescompaniesthrough personalinvestigations,andhopestoprovidesomesupportandhelptosolvethe problemofbraindraininChina'ssecuritiescompanies. Keywords:Securitiesindustry;Braindrain;Countermeasures 目录 IV 目录 摘要································································································I Abstract··························································································II 第1章绪论..................................................................................................................1 1.1研究背景及意义..............................................................................................1 1.1.1研究背景...............................................................................................1 1.1.2研究意义...............................................................................................2 1.2国内外相关研究综述......................................................................................3 1.2.1国外研究概况......................................................................................3 1.2.2国内研究概况......................................................................................4 1.3人才流失理论文献述评..................................................................................6 1.4研究思路、研究方法及创新点......................................................................7 1.4.1研究思路..............................................................................................7 1.4.2研究方法............................................................................................10 1.4.3创新点................................................................................................10 第2章人才流失相关理论........................................................................................11 2.1人才流失的相关概念....................................................................................11 2.2人才激励相关理论........................................................................................12 2.2.1马斯洛需求层次理论........................................................................12 2.2.2赫茨伯格双因素理论.........................................................................13 2.2.3成就需要理论.....................................................................................14 2.3人才流失相关理论模型................................................................................16 2.3.1March和Simon模型.........................................................................16 2.3.2Price模型.........................................................................................18 2.3.3Mobley中介链模型..........................................................................20 2.3.4Mobley扩展模型..............................................................................21 2.4人力资源管理理论模型................................................................................23 第3章AX证券公司人力资源现状...........................................................................27 3.1AX证券公司概况..........................................................................................27 3.2AX证券公司人力资源特点..........................................................................28 目录 V 3.2.1人力资源的构成.................................................................................28 3.2.2人力资源管理的应用.........................................................................31 3.3AX证券公司人才流失现状..........................................................................35 第4章AX证券公司人才流失状况调查及原因分析................................................37 4.1人才流失调查................................................................................................37 4.1.1问卷设计与发放................................................................................37 4.1.2调研结果分析....................................................................................39 4.1.3调研结果评价....................................................................................42 4.2人才流失原因分析........................................................................................43 4.2.1社会宏观环境分析.............................................................................43 4.2.2证券行业环境分析.............................................................................44 4.2.3企业组织环境分析.........