摘要
证券行业作为我国的一个新兴行业，服务营销是其本质，也是其经营成长的
重要基石。随着互联网在金融领域的普及，同行业间的竞争越来越激烈。证券公
司能否在竞争的激流中拥有优秀营销人员则成为关键。在此背景下，改进及完善
证券营销人员的绩效管理是管理工作的重中之重

本文首先分析 XY 证券营业部营销人员绩效考核现状，得出绩效考核中存在
的问题：①考核目标导向不清晰、与企业战略关联性差；②考核目标制定缺乏沟
通，挫伤了部分员工的积极性，起不到应有的提升企业与员工绩效的作用；③考
核指标设计不合理；④考核结果应用配套性差，发挥不了激励作用；其次本文结
合绩效考核相关理论，优化 XY 证券营业部营销人员的绩效考核体系，从而激发
员工的工作积极性

本文共分为六个部分：
第一部分绪论介绍了选题的背景和意义，说明了研究思路、研究方法、研究
内容

第二部分理论基础与文献综述总结了现行的绩效考核理论与方法，界定了绩
效、绩效考核的基本概念，对证劵类营销人员绩效考核相关研究进行了文献总结

第三部分分析 XY 证券营业部营销人员绩效考核体系的现状。主要介绍 XY 证
券营业部营销人员的考核现状，分析其存在的问题及原因

第四部分对 XY 证券营业部营销人员现有的绩效考核体系进行优化设计。首
先明确绩效考核流程与基本思路，再构建营销人员绩效考核体系的各项指标，最
后用关键业绩指标法对营销人员考核指标权重进行设计

第五部分是对 XY 证券营业部营销人员的新绩效考核体系运行与保障状况分
析。先进行绩效评估得到绩效评估结果并充分运用，再从组织保障、思想保障、
成果巩固三个方面保障措施，最后指出考核预期的问题

最终，归纳主要结论，进一步提出未来研究方向

关键词：营销人员；绩效考核；绩效指标工商管理硕士专业学位论文
II
Abstract
The securities industry is an emerging industry with the essence of service
marketing. Marketing is an important cornerstone of the development of securities
companies. With the wide development of internet finance, the competition among the
same industry is becoming increasingly fierce. Therefore, the modern enterprises pay
more and more attention to the importance of the human resource management.
Firstly, this paper makes system optimization in view of the current situation of
XY Securities Sales Department. It is concluded that there are some main problems in
the performance appraisal of the company: ①There is a poor correlation between the
assessment target and the enterprise strategy; ②Lacking of communication is hurting
the enthusiasm of some employees; ③The evaluation index is unreasonable;④The
application result of the examination is bad, and it cannot achieve the effect of
incentive and restraint. Secondly, combined with the latest performance appraisal’s
theories, to optimize the performance appraisal in XY Securities Sales Department,
hoping to stimulate the enthusiasm of staff work.
This paper is divided into six parts:
The first part is the introduction. Introduces the background and significance of
this topic, puts forward the research ideas, research methods and research contents.
The second part is the theoretical basis and literature review. Define the basic
theories and appraisal of performance, and briefly describe them. Make a summary of
the performance research on securities marketers.
The third part is the present situation of XY Securities Sales Department’s
employees. This part mainly introduces the present situation of employees, analyzing
the existing problems and the reasons of the XY Securities Branch.
The fourth part is the XY Securities Sales Department performance appraisal
system optimization design. The performance appraisal process and the basic train of
thought are pointed out, and the indexes of the performance appraisal system of the
marketing personnel are optimized, and the key indicators are used to design the index
weight of the employees&39; assessment and apply them in practice.
The fifth part is the new performance appraisal system’s operation and guarantee
in XY Securities Branch. Performance evaluation, feedback and application of the
results, from three aspects of the organizational security, ideological security and the
results to carry out, and then pointed out that the expected effect of the examination.
Finally, the main conclusions are summarized and put forward the prospect of the
research.
Key words: marketer; performance appraisal; performance indicatorsXY 证券营业部营销员工绩效考核体系优化研究
III
目 录
摘要… Ⅰ
Abstract…… Ⅱ
1 绪 论........1
1.1 研究背景.........1
1.2 研究目的与意义.........2
1.3 研究方法与内容框架.2
1.3.1 研究方法..........2
1.3.2 内容框架..........3
2 理论基础与文献综述4
2.1 绩效考核相关理论.....4
2.1.1 绩效的概念......4
2.1.2 目标管理法理论..........4
2.1.3 平衡计分卡理论..........5
2.1.4 360 度综合考核法理论...........5
2.1.5 关键绩效考核法（KPI）理论6
2.2 关于证券类公司营销员工的研究.....6
2.2.1 员工特点的研究..........6
2.2.2 员工绩效考核问题的研究......7
2.2.3 员工绩效考核方法及考核指标的研究..........7
3 XY 证券公司营销人员绩效考核现状分析...9
3.1 XY 证券公司营业部简介........9
3.1.1 基本情况..........9
3.1.2 组织结构分析..9
3.1.3 人力资源现状10
3.2 XY 证券营业部营销人员绩效考核现状......10
3.2.1 绩效考核总则10
3.2.2 绩效考核体系的主要内容....11
3.2.3 绩效考核结果的应用12
3.3 访谈及结果分析.......13
3.3.1 访谈问题........13
3.3.2 访谈对象的选取........13
3.3.3 访谈过程及资料整理14
3.3.4 访谈结果的分析........14
3.4 XY 证券营业部营销人员绩效考核中存在的问题..15
3.4.1 绩效考核与公司发展战略目标脱轨15工商管理硕士专业学位论文
IV
3.4.2
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