为了进一步扩大金融业对外开放，国务院金融稳定发展委员会于2019年7 月推出了新十一条举措。证券业作为金融业的三大主业之一，是资本市场发展 的核心领域，国内各大证券公司必将面临重大的挑战和激烈竞争，如何才能守 正出奇脱颖而出赢得竞争？在企业的现代化管理上探索，已然显得落后了，通 过优秀的企业文化建设提升企业的经营绩效将具有重大的战略意义。光大证券 是一家由部级央企中国光大集团控股的上市证券公司、证券行业第一梯队企业， 对光大证券进行企业文化体系建设优化研究，为其全面推行实施企业文化优化 升级提供理论依据和参考，这将对中国证券行业的改革发展带来重要的实践指 导意义。 本文核心内容共五部分：第一部分：对论文的相关研究背景、意义及研究 方法进行阐述。第二部分：对本论文所依据及参考的有关企业文化理论进行了 梳理，并确定光大证券企业文化体系建设优化研究所需理论逻辑和框架。第三 部分：在对光大证券做了基本情况研究的基础上，借鉴丹尼森文化模型设计问 卷调查内容并对调查结果进行分析。在研究调查分析的基础上结合四层次理论 对光大证券企业文化体系建设存在问题的进行分析。第四部分：通过对中国平 安、招商银行等优秀金融企业的文化建设案例进行分析借鉴，提出优化光大证 券企业文化体系建设的对策思路和参考。本论文应用企业文化四层次理论来优 化光大证券企业文化体系的物质层、行为层、制度层和精神层的具体内容。第 五部分：为了确保光大证券企业文化体系建设的优化升级不是只付之于企业内 部公文流转或高挂墙上的标语，论文最后还提出了优化光大证券企业文化体系 建设的落地保障机制。本论文最后的结论是：进一步优化并全面开展企业文化 体系建设是光大证券实现“全球一流的全能型投资银行”战略目标的重要保证 和助动力，对内将全面提升光大证券的企业经营管理水平，对外将树立全新的 高美誉度的企业形象。 关键词：企业文化；文化四层次理论；光大证券；优化；保障机制 MBA学位论文 作者：李达权 光大证券企业文化体系建设优化研究 II Study on the optimization of culture system construction of Everbright Securities Abstract In order to further expand the opening up of the financial industry, the financial stability and Development Commission of the State Council launched 11 new measures in July 2019. As one of the three main businesses of the financial industry, the securities industry is the core area of the development of the capital market. Domestic major securities companies are bound to face major challenges and fierce competition. How can we keep up and stand out to win the competition? In the modern management of enterprises, the exploration has become backward. It is of great strategic significance to improve the business performance of enterprises through the construction of excellent corporate culture. Everbright Securities is a listed securities company controlled by China Everbright Group, a ministry level central enterprise, and the first echelon enterprise in the securities industry. The research on the construction and optimization of the corporate culture system of Everbright Securities provides theoretical basis and reference for its full implementation of the optimization and upgrading of corporate culture, which will bring important practical guiding significance to the reform and development of China's securities industry. The core content of this paper consists of five parts: the first part describes the research background, significance and research methods of the paper. The second part: it combs the relevant corporate culture theories which this paper bases on and references, and determines the theoretical logic and framework for the optimization research of Everbright Securities corporate culture system construction. The third part: Based on the basic research of Everbright Securities, the paper designs the questionnaire survey content and analyzes the survey results based on Denison culture model. On the basis of research, investigation and analysis, combined with the four-level theory, the paper analyzes the problems existing in the construction of Everbright Securities enterprise culture system. The fourth part: through the analysis of the cultural construction cases of China Ping An, China Merchants Bank and other excellent financial enterprises, this paper puts forward the countermeasures and reference to optimize the cultural system construction of Everbright Securities enterprises. This paper applies the theory of four levels of corporate culture to optimize the specific contents of material, behavior, system and spirit of Everbright Securities. The fifth part: in order to ensure that the optimization and MBA学位论文 作者：李达权 光大证券企业文化体系建设优化研究 III upgrading of Everbright Securities enterprise culture system construction is not only paid for the internal document circulation or the slogan hanging on the wall, the paper also puts forward the landing guarantee mechanism for optimizing the construction of Everbright Securities enterprise culture system. The final conclusion of this paper is: further optimizing and comprehensively developing the construction of corporate culture system is an important guarantee and driving force for Everbright Securities to achieve the strategic goal of "world-class all-round investment bank". It will comprehensively improve the enterprise management level of Everbright Securities at home and establish a brand-new high reputation enterprise image at home. Key words: Corporate culture；Theory of four levels of culture；Everbright Securities； Optimization；Guarantee mechanism MBA学位论文 作者：李达权 光大证券企业文化体系建设优化研究 IV 目 录 中文摘要 ................................................. I Abstract ................................................ II 第一章 引言 .............................................. 1 1.1研究背景和意义 .............................................. 1 1.1.1研究背景 ............................................... 1 1.1.2研究意义 ............................................... 2 1.2文献综述 .................................................... 3 1.2.1西方企业文化研究概况 ................................... 3 1.2.2国内企业文化研究概况 ................................... 5 1.2.3中外企业文化研究述评 ................................... 5 1.3研究思路、方法与工具 ........................................ 6 1.3.1研究思路 ............................................... 6 1.3.2方法与工具 ............................................. 7 第二章 相关概念及理论基础 ................................ 8 2.1相关概念 .................................................... 8 2.1.1企业文化的定义 ......................................... 8 2.1.2企业文化体系的结构 ..................................... 8 2.2理论基础 ................................................... 10 2.2.1丹尼森的组织文化模型 .................................. 10 2.2.2企业文化四层次理论 .................................... 10 2.2.3企业文化体系的模式 .................................... 12 第三章 光大证券企业文化建设现状分析 ..................... 15 3.1光大证券的企业概况 ......................................... 15 3.2光大证券企业文化体系建设的基本情况 ......................... 16 MBA学位论文 作者：李达权 光大证券企业文化体系建设优化研究 V 3.2.1光大证券企业文化现状描述 .............................. 16 3.2.2光大证券企业文化体系建设已有实践 ...................... 18 3.3光大证券企业文化体系建设的问卷调查情况 ..................... 18 3.3.1调查问卷设计及样本数据说明 ............................ 18 3.3.2精神文化调查情况 ...................................... 19 3.3.3制度文化调查情况 ...................................... 22 3.3.4行为文化调查情况 ...................................... 24 3.3.5物质文化调查情况 ...................................... 27 3.4光大证券企业文化体系建设存在问题的分析 ..................... 30 3.4.1物质文化建设标准不统一 ................................ 30 3.4.2行为文化建设步调不一致 ................................ 30 3.4.3制度文化建设架构不健全 ................................ 31 3.4.4精神文化建设高度不看齐 ................................ 32 第四章 光大证券企业文化体系建设的优化思路和对策 ......... 33 4.1优秀金融企业文化的借鉴 ..................................... 33 4.1.1中国平安保险(集团)股份有限公司的企业文化 .............. 33 4.1.2招商银行的企业文化 ..........