进入新常态经济发展阶段以来，证券行业发展势头良好，但整体市场规模较小、内 部管理问题突出，绩效考核方面矛盾重重，人员激励不突出。很多证券公司针对以上问 题展开深入的研究，试图找到与证券金融服务行业相契合绩效考核办法，改善人力资源 管理现状。企业之间竞争的核心是人力资源的竞争，而且人力资源在企业经营过 程中发挥决定作用。绩效考核作为人力资源管理的核心部分，在改进营销人员绩 效和保持团队凝聚力方面作用明显，并已经成为实现企业战略目标的重要控制机 制。通过营销员工绩效考核体系的构建，实现企业、岗位和员工之间动态匹配， 并作为营销人员薪酬调整、岗位更换、职务晋升的重要参考依据。 本文以大连S证券公司为研究对象，根据现代绩效考核理论以及国内外绩效考 核研究现状，重点利用问卷调研法了解公司营销人员绩效考核现状，发现公司确实存 在绩效考核指标设置不合理、工作缺乏深入性、考核流程不完整、数据信息采集有效性 不高、评价主体单一等问题，随后从多个维度对上述问题进行原因分析，归纳总结出以 下几点：绩效考核工作没有与企业战略发展目标有效融合、考核工作与实际岗位相脱节、 内部对绩效考核的重视程度不够、数据采集系统不健全、尚未形成民主包容的企业文化 等。最后文章基于上述问题及其诱发原因，制定切实可行的绩效管理优化策略以及实施 方案与保障措施，以期增强核心员工忠诚度，提高员工工作满意感，推动人力资源高质 量发展。 通过对大连S证券公司绩效考核展开研究，不仅能够帮助大连S证券公司形成营销 人员绩效考核对策，同时为其他证券公司解决实际问题提供重要参考。 关键词：证券公司；营销人员；绩效考核 大连S证券公司营销人员绩效考核问题及对策研究 -II- Research on the Problems and Countermeasures of Performance Evaluation of Marketing Personnel in Dalian S Securities Company Abstract Since entering the new normal economic development stage, the development momentum of the securities industry is good, but the overall market size is small, internal management problems are prominent, performance appraisal is full of contradictions, and personnel incentive is not prominent. Many securities companies carry out in-depth research on the above issues, trying to find a performance appraisal method that is consistent with the securities financial service industry, and improve the current situation of human resource management.The core of the competition among enterprises is the competition of human resources, which plays a decisive role in the process of enterprise operation. As the core part of human resource management, performance appraisal plays an important role in improving the performance of marketing personnel and maintaining team cohesion, and has become an important control mechanism to achieve the strategic objectives of enterprises. Through the construction of performance appraisal system of marketing staff, the dynamic matching among enterprises, posts and employees can be realized, and it can be used as an important reference for salary adjustment, post replacement and post promotion of marketing staff. This paper takes Dalian s securities company as the research object, according to the modern performance appraisal theory and the domestic and foreign performance appraisal research status, focuses on using the questionnaire survey method to understand the company's marketing personnel performance appraisal status, and finds that the company does have unreasonable performance appraisal index setting, lack of in-depth work, incomplete appraisal process, low effectiveness of data collection and evaluation Then it analyzes the causes of the above problems from multiple dimensions, and summarizes the following points: the performance appraisal is not effectively integrated with the strategic development goals of the enterprise, the appraisal is disconnected from the actual post, the internal attention to the performance appraisal is not enough, the data collection system is not perfect, and the enterprise culture of democracy and inclusiveness has not been formed. Finally, based on the above problems and their causes, this paper makes feasible performance management optimization strategies, implementation plans and safeguards, in order to enhance core employee loyalty, 大连理工大学专业学位硕士学位论文 - III - improve employee job satisfaction, and promote the high-quality development of human resources. Through the research on the performance appraisal of Dalian s securities company, it can not only help Dalian s securities company to form the performance appraisal countermeasures for marketing personnel, but also provide important reference for other securities companies to solve practical problems. Key words: securities company; marketing staff; performance appraisal 大连S证券公司营销人员绩效考核问题及对策研究 -IV- 目 录 摘要 ............................................................................................................................. I Abstract ............................................................................................................................. II 1 绪论 .............................................................................................................................. 1 1.1 研究背景 ........................................................................................................... 1 1.2 研究意义 ........................................................................................................... 1 1.2.1 理论意义 ................................................................................................ 2 1.2.2 实践意义 ................................................................................................ 2 1.3研究内容与研究方法 .......................................................................................... 2 1.3.1 研究内容 ................................................................................................ 2 1.3.2 研究方法 ................................................................................................ 3 2 理论基础与文献综述 .................................................................................................. 4 2.1 理论基础 ........................................................................................................... 4 2.1.1 绩效考核理论 ........................................................................................ 4 2.1.2 激励理论 ................................................................................................ 7 2.2 国内外研究综述 ................................................................................................. 8 2.2.1 关于绩效考核方法方面的研究 ............................................................ 8 2.2.2 关于营销人员绩效考核方面的研究 .................................................... 9 3 大连S证券公司营销人员绩效考核现状分析 ........................................................ 11 3.1 大连S证券公司基本情况 ............................................................................. 11 3.1.1 大连S证券公司简介 .......................................................................... 11 3.1.2 大连S证券公司组织结构概况 .......................................................... 12 3.1.3 大连S证券公司营销人员概况 .......................................................... 13 3.2 大连S证券公司营销人员绩效考核现状 ..................................................... 13 3.2.1 绩效考核主体与周期 .......................................................................... 13 3.2.2 绩效考核流程 ...................................................................................... 13 3.2.3 绩效考核内容和考核方法 .................................................................. 13 3.2.4 绩效考核结果应用 .............................................................................. 15 4大连S证券公司营销人员绩效考核存在的问题及原因分析 ................................... 16 4.1 大连S证券公司营销人员绩效考核现状调查 ............................................. 16 4.1.1 调查问卷的设计与发放 ...................................................................... 16 4.1.2 调查对象基本情况 .............................................................................. 16 大连理工大学专业学位硕士学位论文 - V - 4.1.3 调研问卷的检验