ZXJT证券公司赣州营业部员工绩效管理优化研究
摘要
随着金融市场的开放，国内外的券商开始同台竞技，促进证券行业之间的竞争日益
激烈，头部券商的优势越发明显，中小券商面临巨大的生存压力，优秀人员的竞争成为
行业的新焦点，外部环境的变化迫使各大证券公司加强对人才的培养与激励，促进员工
的成长，进而提高工作绩效，实现公司长期的战略目标。
本文基于绩效管理的相关理论及工具等，利用访谈和文献资料等相应的研究方法，
对 ZXJT证券公司赣州营业部员工绩效管理问题进行分析研究，全文实现以下相应的研
究成果，简述如下：首先，针对该营业部员工进行了访谈与沟通，深入了解存在的问题，
并进行成因分析；其次，明确了优化的目标与原则，基于绩效管理相关理论、工具等，
对该营业部员工绩效管理进行优化，从绩效计划、绩效考核、管理沟通以及考核结果运
用的角度，进行翔实地分析与阐述，落实了相应的优化方案等，针对该营业的内外环境
进行 SWOT分析，明确战略地图，落实绩效指标分解等，利用德尔菲法进行专家讨论，
建立了绩效考核指标体系和权重设计，完善了相应的流程等，并加强了考核结果的运用
与关联等；最后，从组织管理、信息技术、财务和人力资源方面，提出了本研究的实施
保障措施。
本研究得出的相关研究成果，希望能够对 ZXJT证券公司赣州营业部的绩效管理起
到积极影响，并为同行业其它证券公司的绩效管理提供参考与借鉴。
关键词：证券公司；人力资源；绩效管理；绩效考核
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Abstract
Abstract
With the opening of the financial market, domestic and foreign brokers began to
compete, promote the competition between the securities industry, head securities advantage
more obvious, small and medium-sized securities face huge survival pressure, outstanding
personnel competition become the new focus of the industry, the change of the external
environment forced major securities companies to strengthen talent training and incentive,
promote the growth of employees, and improve work performance, realize the company's
long-term strategic goals.
This paper is based on the relevant theory and tools of performance management, Using
corresponding research methods such as interviews and literature data, Analyze and study the
employee performance management problems of Ganzhou Business Department of ZXJT
Securities Company, The full text realizes the following corresponding research results, This
is summarized as follows: First, Interviews and communication were conducted for the
business department staff, Learn into the problems, And conduct the cause of the analysis;
next, The objectives and principles of optimization are clarified, Based on performance
management related theories, tools, Optimize the staff performance management of the
business department employees, From the perspective of performance plan, performance
appraisal, management communication, and the application of assessment results, Conduct a
detailed analysisand elaboration,The correspondingoptimization schemehas been
implemented, SWOT analysis for the internal and external environment of the business, Clear
the strategic map, Implement the decomposition of performance indicators, Using the Delphi
law for expert discussion, The performance appraisal index system and the weight design
were established, Improve the corresponding process, And to strengthen the application and
association of the assessment results; last, From organizational management, information
technology, financial and human resources, The implementation safeguards for this study are
proposed.
The relevant research results obtained in this study hope to have a positive impact on the
performance management of Ganzhou Business Department of ZXJT Securities Company,
and provide reference and reference for the performance management of other securities
companies in the same industry.
KeyWords: Securitiescompany;humanresources; performancemanagement;
performance appraisal
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ZXJT证券公司赣州营业部员工绩效管理优化研究
目录
1绪论................1
1.1研究背景..............1
1.2研究目的与意义................2
1.2.1研究目的...........2
1.2.2研究意义...........2
1.3研究内容与方法................3
1.3.1研究内容...........3
1.3.2技术路径...........3
1.3.3研究方法...........4
2绩效管理相关理论与研究概述.........5
2.1相关概念及研究内容...............5
2.1.1绩效............5
2.1.2绩效考核...........5
2.1.3绩效管理...........6
2.1.4绩效管理的内容.............7
2.2相关理论基础.............8
2.2.1公平理论...........9
2.2.2目标理论...........9
2.2.3激励理论................10
2.3绩效相关工具...........10
2.3.1关键绩效指标法...........10
2.3.2平衡计分卡法...............11
2.3.3 360度评估法..........12
3 ZXJT证券赣州营业部概况及绩效管理现状分析.....14
3.1 ZXJT证券公司赣州营业部的概况............ 14
3.1.1基本简介................14
3.1.2组织结构................14
3.1.3人力资源................15
3.2 ZXJT证券公司赣州营业部绩效管理状况....... 16
3.2.1绩效计划................16
3.2.2绩效实施................20
3.2.3绩效考核................21
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