本文以苏州地区中小型券商 DW 证券公司作为研究对象,在券商行业发展逐步
进入洗牌期的大背景下,DW 证券公司试图通过大力发展 PB 业务实现公司经纪业务
的转型升级。本文通过构建 PB 业务人员胜任力模型,对包括招聘选拔、业务培训、
绩效管理和薪酬激励等 DW 证券 PB 部门业务人员管理机制提出了优化方案,以人员
管理机智为抓手提高 DW 证券公司 PB 业务核心竞争力,从而实现 PB 业务“弯道超
车”
关键词:胜任力 人员管理 证券公司 PB 业务
作 者:崔彧来
指导导师:袁勇志英文摘要 基于胜任力的 PB 业务人员管理机制的优化研究
II
A optimized research of PB human resource based on
competency
——Take the example of DW securities company
Abstract
As the Chinese financial market has developed healthy and orderly in recent years,
more and more financial innovation occurred in China. Prime broker as an innovation is
offered by more securities company ,which includes most functions of securities company.
Because of the long chain and complexity of the Prime broker, the nationwide mega
securities companies own most domestic market shares since the very beginning. Also
because of lacking of professional talents, the local small securities companies are not on
the same stage of the nationwide mega securities companies.
This research paper takes the DW securities company in Soochow district as the study
object. As the securities industry is about to have a big change, the DW securities company
is trying to upgrade the traditional broker business by developing the Prime broker. This
research paper constructs a competency model to optimize the recruiting, training,
performance and salary management of the Prime broker human resource in DW securities
company. The core-competitiveness of the DW securities company can be promoted by
optimizing the Prime broker human resource on purpose of “corner overtaking”.
Keywords: Competency human resource security company Prime broker
Written by Cui Yulai
Supervised by Yuan Yongzhi
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目 录
绪 论 ...........1
1、选题的背景、研究的意义和思路...1
1.1、选题的背景.....1
1.2、研究的意义.....2
1.3、研究的思路.....2
1.4、研究的创新之处.........4
2、文献综述和概念界定...........5
2.1、胜任力和胜任力模型的概念和内涵.5
2.2、国内外胜任力研究成果及胜任力模型假设.5
2.3、构建胜任力模型的流程和方法....... 11
2.4、人员管理相关理论...13
第一章 DW 证券 PB 业务人员管理现状..........15
1、DW 证券及 PB 业务发展现状 ......15
1.1、DW 证券公司背景及企业文化特点...........15
1.2、PB 业务简介及发展现状.....15
1.3、DW 证券 PB 业务发展情况 16
2、DW 证券 PB 业务人员管理现状和存在的问题 ..17
2.1、招聘选拔.......17
2.2、业务培训.......18
2.3、绩效管理.......18
2.4、薪酬激励.......18
第二章 DW 证券 PB 业务人员胜任力模型的构建......19
1、需求分析与准备.....19
1.1、确定建立 DW 证券 PB 业务人员胜任力模型的目标 .......19
1.2、确定 PB 部门进行胜任力分析的关键岗位19
2、胜任力指标的获取.20
2.1、与文献法相结合的问卷调查法.......20
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2.2、与工作分析法相结合的专家座谈法...........21
3、胜任力模型的初步建立.....23
4、胜任力模型的确认和检验.23
5、模型的建立.27
第三章 DW 证券 PB 业务人员管理机制的优化方案..28
1、招聘选拔的优化.....28
2、业务培训的优化.....30
2.1、培训需求的分析.......30
2.2、培训计划编制...........31
2.3、培训管理措施...........31
2.4、培训效果评估...........32
3、绩效管理的优化.....32
4、薪酬激励的优化.....35
第四章 研究结论、局限和展望.37
1、研究结论.....37
2、研究局限.....37
3、研究展望.....37
参考文献 .....38
附录一:DW 证券 PB 部门前中后台各岗
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