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学位论文作者（签名）：
2022年 5月30日
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学位论文作者（签名）：
导师（签名）：
2022年 5月 30日
2022年5月30日
摘要
近年来，受国家金融政策影响和金融经济的冲击，证券企业的竞争压力日趋增大，
证券企业站在行业改革和政策调控的风口当下，证券企业的平均交易佣金率持续下降。
佣金率的下滑和行情的低迷，对券商业绩产生很大影响。在这样的行业背景下，券商企
业想实现网上开户、展业、服务等业务多方面发展，需要通过券商行业内部员工的努力
来实现，由此可见，证券行业是知识密集型企业，企业需要通过人力资源管理调动起员
工的积极性，以此适应新形态下的券商行业改革升级。基于此背景下，本研究以证券企
业常州营业部营销人员绩效考核为研究主题，旨在探讨在券商业务下滑的情况下，从绩
效考核、激励等方面进行优化改革，以实现经纪业务顺利转型，继续保持大券商的优势
竞争力。
XD证券作为国内知名券商，选择 XD证券常州营业部营销人员绩效考核为研究对
象，对其营销人员绩效考核存在的问题进行探析，并根据 XD证券常州营业部营销人员
绩效考核存在的问题提出优化策略。本研究以文献研究法、问卷调查法为主要研究方法，
根据问卷调查结果分析得出XD证券常州营业部的营销人员绩效考核存在着考核指标设
计不科学、员工参与性较低、绩效考核结果运用不充分、绩效考核未体现企业战略目标
等问题，这些问题的产生原因是证券行业重视业务指标、缺乏绩效考核反馈通道、绩效
考核管理理念落后和过度依赖总部公司管理。基于问卷调查结果的问题，本研究引入平
衡计分卡，运用层次分析法，将 XD证券常州营业部的绩效考核指标分为目标层和准则
层，目标层从四个维度进行重新设计，分别是财务维度、内部流程维度、客户维度、学
习与成长维度，准则层共有 23个指标，结合绩效考核指标的权重设计，强化绩效考核
过程中的沟通反馈和结果运用。最后，本研究还从组织保障、文化保障、制度保障三个
方面为 XD证券常州营业部提出保障措施，以实现营销人员绩效考核制度的有序更新和
科学运用。
关键词：证券企业；绩效考核体系；优化策略
I
Abstract
In recent years, under the influence of national financial policies and the impact of
financial economy, the competitive pressure of securities enterprises is increasing day by day.
Securities enterprises are standing at the tuyere of industrial reform and policy regulation, and
the average transaction commission rate of securities enterprises is declining. The decline of
commission rate and the downturnof the market have a great impact onbrokerage
performance. Under such a background, brokerage companies need to realize the online
account opening, acquisition, services and other business, the completion of the work of all
need through the brokerage sector employees to achieve, therefore, the securities industry is
knowledge intensive enterprises, enterprises need through human resources management to
mobilize the staff's enthusiasm, to adapt to the brokerage sector reform under the new form to
upgrade. Based on this background, this study takes the performance appraisal of the business
department of securities enterprises as the research topic, aiming to explore the optimization
reform of performance appraisal and incentive in order to realize the smooth transformation of
brokerage business and maintain the competitive advantage of big securities firms.
XD Securities, as a well-known domestic brokerage, chooses the business department of
XD Securities' Changzhou branch as the research object, analyzes the problems existing in its
performance appraisal, and puts forward optimization strategies according to the problems
existing inthe performance appraisalof XD Securities'Changzhou branch business
Department. This research by literature research, questionnaire survey method as the main
research method, according to the result of questionnaire analysis XD securities changzhou
branch sales department design does not exist in performance appraisal index evaluation
indexes of science, employee participation is low, performance appraisal results using
enterprise strategic goals,performance appraisal, inadequate, Theemergence of these
problems and securities industry competition, neglect of strategic guidance, lack of subjective
initiative and rely on the management of superior companies. Based on the results of
questionnaire survey, this study introducedthe balanced scorecard, using the analytic
hierarchyprocess (ahp),changzhou branchwillXD securitiesbusinessdepartment
performance evaluation index into the rule of target layer and layer, the target layer and
redesign from four dimensions, respectively is the financial dimension, internal process
dimension, the customer dimension, learning and growth dimension, criterion layer, a total of
23 indicators. Combined with the weight design of performance assessment indicators,
II