I 摘要 证券经纪业务又被称为代理买卖证券业务，是指证券公司接受客户委托代客 户买卖有价证券的业务。随着中国对于金融市场的逐步开放，作为中国证券业支 柱业务的经纪业务所面临的竞争压力尤为巨大。单纯的交易通道服务已经不再能 够满足客户的需求，客户对专业化投资理财建议及资产配置服务有了更高的要求。 想要在激烈的竞争压力中继续保持竞争力，证券公司经纪业务必须打破同质化的 服务，以差异化的服务、营销能力来提升客户满意度，从而继续维护市场份额甚 至扩大市场份额。而想要实现员工差异化的服务、营销能力，人力资源培训的作 用至关重要。 但长期以来由于行业红利的影响，证券公司经纪业务对培训工作重视程度不 高，除部分大型证券公司已经建立了自己完善的培训体系甚至是企业大学外，中 小型证券公司的培训通常都不成体系。因此，本文以 G 公司经纪业务为研究对象， 尝试构建 G 公司经纪业务的培训体系。本文首先采用文献法在国内外各位学者已 有研究成果的基础上，结合企业员工培训与战略管理的关系分析、传统培训模式 与以战略为导向的培训模式对比分析，得出建立以战略为导向的培训体系更符合 企业战略实施的需求。根据各位学者对以战略为导向的培训体系构建思路，以 G 公司经纪业务战略为指导，结合经纪业务人力资源现状与培训现状，梳理出目前 经纪业务培训存在的问题与不足之处，在经纪业务战略的基础上提出适合 G 公司 经纪业务的培训体系构建思路：以以战略为导向的培训循环模型为基础，从培训 需求分析、培训计划设计、培训方案实施、培训效果评估四大方面系统梳理 G 公 司经纪业务培训的构建流程，找出 G 公司经纪业务的关键岗位，并借鉴戈德斯坦 培训需求分析模型、德雷福斯技能获得模型、70-20-10 学习法则、柯氏四级培训 评估模式等工具，采用访谈法对 G 公司经纪业务关键岗位的培训重点进行梳理， 使培训体系更为科学的服务于经纪业务战略，让员工全面提升综合素质，从而使 员工与企业共同成长、达到双赢，为 G 公司经纪业务在激烈的市场竞争中实现其 差异化增值服务商的战略定位提供有力支撑。 通过以上思路构建的 G 公司经纪业务的培训体系，希望对 G 公司经纪业务未 来业务发展起到有效支撑，并能够为其他中小型证券公司构建培训体系起到借鉴 作用。 关键词：企业培训，证券经纪业务，培训体系ABSTRACT II ABSTRACT The securities brokerage, also known as the deputy trading of securities, refers to the business of securities companies accepting clients' entrustment to buy and sell securities on their behalf. With the gradual opening of China's financial market, the brokerage business, as the backbone of China's securities industry, is facing quite intense competitive pressure. Simple transaction channel can no longer meet the needs of customers. They have higher requirements for professional investment and financial advice and for asset allocation services. Therefore, to maintain competitiveness of their brokerage business in fierce competition, the securities companies must replace the homogeneous services and marketing abilities by differentiated ones to improve customer satisfaction, so as to keep and even expand the market share. And the human resource should have played a crucially important role in this process. However, influenced by the industry dividends for a long time, securities companies have paid little attention to training for employees in brokerage business. Except for some large securities companies that have established their own comprehensive training systems or even corporate universities, the training in most small and medium securities companies is far from being systematic. Therefore, this thesis takes G company's brokerage business system as the research object and tries to build a training system for it. Firstly, literature method is adopted in this thesis to summarize the existing research achievements of scholars both at home and abroad. Then, combined with the analysis of relationship between corporate employee training and strategic management, and the comparative analysis between traditional training model and strategy-oriented one, it can be found that the needs of corporate strategy implementation can be best served by the strategy-oriented training system. And next, based on the scholars’ thoughts on constructing strategy-oriented training system, guided by the G company’s brokerage strategy, and combining the status of both current human resources and training in brokerage system, this thesis sorts out the problems and shortcomings of current training in brokerage business. And also, it puts forward an idea for constructing a training system suitable for G company oriented by its brokerage business strategy: firstly systematically comb the construction process of G company's brokerage training from the aspects of training demand analysis, training plan design,ABSTRACT III training program implementation, and training effect evaluation and based on the strategy-oriented training cycle model,;then find out the key positions in G company's brokerage business and sort out their training focus both by interview and by drawing lessons from the Goldstein model, the Dreyfus skill acquisition model, the 70-20-10 learning rule, Donald L Kirkpatrick' Evaluation Model, and other tools, so that a more scientific training system for brokerage business strategy can be established, from which employees can comprehensively improve their overall quality and the company can also grow together with them, thus achieving a win-win result to provide strong support for realizing its strategic positioning of differentiated value-added service provider in fierce market competition. The training system for G company's brokerage business constructed by the idea mentioned above is expected to provide effective support for future development of G Company's brokerage business and to serve as a reference for other small and medium-sized securities companies to build training systems. Keywords: Enterprise training, Securities brokerage, training system目录 IV 目录 第一章 绪论........................1 1.1 选题背景和选题意义..........................1 1.1.1 选题背景....1 1.1.2 选题意义....4 1.2 论文研究方法与结构安排..................5 1.2.1 论文研究方法...........................5 1.2.2 论文结构安排...........................5 第二章 相关理论基础........7 2.1 员工培训与战略管理的关系分析......7 2.1.1 员工培训....7 2.1.2 战略管理....7 2.1.3 员工培训与战略管理的关系...8 2.2 传统培训与以战略为导向的培训的区别.........................8 2.2.1 培训循环模型...........................8 2.2.2 以战略为导向的培训循环模型..............................9 2.2.3 传统培训与以战略为导向的培训之间的区别....10 2.3 以战略为导向的培训体系................11 2.3.1 实施以战略为导向的培训必须坚持的原则........11 2.3.2 以战略为导向的培训体系构建模型....................12 2.4 本章小结.............13 第三章 G 公司经纪业务培训现状.................14 3.1 G 公司经纪业务战略.........................14 3.1.1 G 公司经纪业务介绍..............14 3.1.2 G 公司经纪业务内外部环境分析.........................16 3.1.3 G 公司经纪业务战略及实施概况.........................18 3.2 G 公司经纪业务人力资源现状分析.23 3.2.1 组织分析..23 3.2.2 人员分析..24 3.2.3 经纪业务人力资源管理总体目标........................26 3.3 G 公司经纪业务培训现状及问题.....29目录 V 3.3.1 培训现状分析.........................29 3.3.2 G 公司经纪业务培训中存在的问题.....................32 3.3.3 G 公司经纪业务培训存在问题的改进方向.........35 3.4 本章小结.............36 第四章 G 公司经纪业务培训体系构建方案.37 4.1 G 公司经纪业务培训体系构建指导思想与基本原则....37 4.1.1 经纪业务战略及人力资源战略............................37 4.1.2 培训体系构建指导思想与基本原则....................38 4.2 G 公司经纪业务培训体系构建思路及设计方法............38 4.2.1 培训体系构建思路.................38 4.2.2 经纪业务培训体系的设计方法............................40 4.3 培训体系构建.....43 4.3.1 培训需求分析.........................43 4.3.2 培训计划设计.........................50 4.3.3 培训计划实施.........................55 4.3.4 培训效果评估.........................58 4.3.5 培训过程管理.........................61 4.4 本章小结.............62 第五章 G 公司经纪业务培训保障措施.........63 5.1 培训硬件保障.....63 5.1.1 线下培训硬件保障.................63 5.1.2 远程培训支持系统.................63 5.1.3 线上培训平台.........................63 5.2 讲师体