摘 要
在全球经济一体化的大背景下,中国证券市场发展迅速。2012年中国共有
12家外资参股证券公司,根据中国证券业协会公布的公示信息共有截止2012年
12月全国共有114家证券公司遍布全国近6000家证券营业部。2012年券商创新
大会上证券市场报告指出,“当前我国证券行业的金融创新迎来了历史最好时期
一是我国产业结构调整、转变发展方式的进程在日益深化;二是财富管理已成为
全社会的迫切需要;三是利率和汇率市场化改革正在加速深化,金融产品定价和
风险管理成为企业和家庭极为现实与普遍的需求;四是社会各界对推进新一轮证
券行业的改革具有较高期望;五是国家对外开放程度整体水平的提升,使金融创
新具有更好的条件。与此同时,我国资本市场经过20多年的改革发展,规模快
速扩大,体系不断健全,结构H益优化,监管的有效性切实增强,这为证券业的
创新打下了坚实基础,提供了良好条件。” 2013年3月15 R非现场开户业务会
全面放开,证券公司第一家网上商城在淘宝天猫已经正式开业,证券公司迎来前
所未有的发展机会
创新背景下的中国证券公司机遇和竞争并存。作为证券市场的重要参与者的
证券公司面临的挑战前所未有,竞争円益激烈,山原来的价格战等初级形式的竞
争模式逐渐转型,营销部门成为每家证券营业部不可或缺的部门,证券营业部纷
纷组建营销团队。根据证券公司的运营特点,营销系列员工比例大概在50%左右,
不完全统计在中国证券行业营销系列员工大概15万左右。如此庞大的一个团体
人员的行为对行业的影响是巨大的。但目前行业内缺乏有效的用人机制,人员流
动频繁,很多证券公司没有系统的人才激励模式和绩效考核机制。如何制定有效
的营销人员人力资源政策,提升证券公司的核心竞争力,在激烈的市场竞争中立
于不败之地,是新形势下我国证券公司面前的重要课题
本论文以证券行业为背景,以CG证券公司为个案,运用人力资源规划的相
关理论,结合EUifCG证券公司营销团队人力资源管理的实际情况,采用文献研
究法和个案研究法,把所学的理论运用到实际工作中,对该公司证券公司营销团
队人力资源发展状况进行了阐述和深入的分析,针对其_前存在的主要问题,提
出相应的人力资源规划方案和措施建议。研究结果表明,尽管存在良好发展机遇,
但是快速扩张的证券公司营业部和萎靡不振的证券市场的错位发展,导致市场竞
争达到白热化程度,营销团队人力资源管理规划对证券公司营业部发展具有重要
的战略意义。健全的人力资源政策为CG证券公司建设一支稳定高效的营销团队,
提高市场竞争力提供有力的人力资源保证,同时也能为整个证券行业人力资源规
划提供一定的参考和借鉴
关键词:证券市场;证券公司;营销团队;人力资源规划
Abstract
Under the background of economic globalization, Chinese securities have
grown rapidly. There are 12 securities companies with foreign shares in Chiria,114
securities companies,nearly 6000 securities sales department according to public
information announced by the Securities Association of China until December 2012.
The securities market report of brokerage innovation conference in 2012 pointed out
that the current financial innovation of the securities industry in China ushered in the
best period in history. First, the process of our country industrial structure adjustment
and transformation of the mode of development is deepening. Second, wealth
management has become the urgent needs of the whole society. Third, the
marketization of interest rate arid exchange rate reform is to accelerate the deepening,
the financial product pricing and risk management become enterprise and family is in
reality and common demand. Fourth,the social from all walks of life to promote a
new round of reform of the securities industry has high expectations. Fifth, the
promotion of the degree of opening to the overall level, make financial innovations
have better conditions. At the same time, after more than 20 years reform and
development of capital market in our country, the scale expands rapidly, the system
constantly improved, the structure is optimized,the effectiveness of the regulatory
practical enhancement, this innovation has laid a solid foundation for the construction
of the securities industry, provides a good condition. On March 15,2013,the site
will open account business,a securities company's first online shop in taobao day cat
was officially opened, the unprecedented development opportunity is becoming.
In the worldwide pursuit of innovation, there coexist opportunities and challenge
in China's securities companies. As the important participant of securities market,
securities companies face the unprecedented challenge and increasingly fierce
competition, from price war such as the primary form of competition mode transition
gradually, securities companies, securities sales department change their operation
mode,marketing department become indispensable to each securities business
department,securities business departments have set up marketing team. According to
the operating characteristics of securities companies, securities company headquarters
to remove the operation management, trading, financial and securities business
department computer and other personnel belong to a series of marketing staff,
marketing series staff proportion about 50%, securities industry marketing series and
about 150,000 employees according to incomplete statistics in China. The behavior of
such a large group can have enormous influences on the industry. Talents are the soul
of enterprise, and it is also the capital of enterprise competition. Securities industry is
knowledge-intensive industry, the competition for talents in the industry becomes
fiercer and fiercer. However, he industry lack of effective mechanism of employing,
the staff is turnover, many securities companies without the system of talent incentive
mode and performance evaluation mechanism. How to make effective human
resources policies of marketing personnel, and enhance the core competitiveness of
securities company, is an new challenge to human resource and an important topic in
the new situation.
This paper sets in the securities industry, studying CG securities companies, using
the relevant theories of human resource planning, combining the actual situation of
CG securities company sales marketing team on human resource management,
through the methods of literature research and case study, apply theory in this real,
expounding and analyzing the human resource development of the marketing team of
the securities sales department, aiming at the existing main problems, put forward the
corresponding human resources planning schemes and suggestions. The research
results show that although acquiring a sound opportunity of development,the
dislocation development between the rapid expansion of securities companies and the
doldrums securities market, the human resource planning of securities company's
marketing team has important strategic significance to the development of securities
business departments. A sound human resources policy of CG securities company can
provide effective protection of human resources to build a stable and efficient
marketing team and promote the competitiveness of the market,At the same time, the
author also hope this paper can provide a good reference to the whole securities
industry on human resources planning.
Key words: Securities Market; Securities Company; The Marketing Team; Human
Resource planning