文本描述
学位论文独创性声明
一
、学位论文独创性声明
本人声明所呈交的学位论文是本人在导师指导下进行的研宄工作及取得的
研究成果。据我所知，除了文中特别加以标注和致谢的地方外，论文中不包含
其他人已经发表或撰写过的研宄成果，也不包含为获得南昌大学或其他教育机
构的学位或证书而使用过的材料。与我一同工作的同志对本研究所做的任何贡
献均己在论文中作了明确的说明并表示谢意。
学位论文作者签名（手写）：签字日期：＾a年々月
＾
曰
二、学位论文版权使用授权书
本学位论文作者完全了解南昌大学有关保留、使用学位论文的规定，同意
学校有权保留并向国家有关部门或机构送交论文的复印件和电子版，允许论文
被查阅和借阅。本人授权南昌大学可以将学位论文的全部或部分内容编入有关
数据库进行检索，可以采用影印、缩印或扫描等复制手段保存、汇编本学位论
文。同时授权北京万方数据股份有限公司和中国学术期刊（光盘版）电子杂志
社将本学位论文收录到《中国学位论文全文数据库》和《中国优秀博硕士学位
论文全文数据库》中全文发表，并通过网络向社会公众提供信息服务，同意按
“章程”规定享受相关权益。
学位论文作者签名（手写）：j导师签名（事写）：
签字曰期：
＞＾年＃月＾
曰签字曰期：7〇必年
y＾／，曰
论文题目G券商C营业部员工绩效考核研宄
名iI学号办｜心“＾汐w论文级别｜博士□硕士p／
院／系／所
令辕被各轉」专业工知嗜遽－
E—mail
备注：
□公开□保密（向校学位办申请获批准为“保密”，年月后公开）
I
摘要
II
摘要
随着网络时代的来临，信息越发透明化，过去靠着信息不对称获得过巨大
收益的金融行业受到了极大的冲击，券商在这一点上体现得尤为明显，具体表
现在佣金水平的大幅下滑、客户对投研力量等的要求越来越高等诸多方面。为
了能够满足客户需求，在激烈的市场竞争中站稳脚跟，传统的券商不得不在发
展中求变化来适应新时代的要求，在服务同质化、佣金水平降无可降的大背景
下，谁拥有了高端人才、谁的团队更具有战斗力和凝聚力也就意味着有可能在
市场中占得先机。特别是在这个网络金融高速发展，证券公司加速布局的时间
节点上，如何在龙鱼混杂的行业内大浪淘沙甄别出优秀人才，如何避免公司内
部出现散漫、不作为的不良风气，制定一套详尽合理的人才考核和绩效分析系
统显得至关重要
本文将以G券商C营业部的绩效考核体系作为研究对象，在对G券商C营
业部进行了详细调研并下发调查问卷的基础上，对C营业部的绩效考核体系有
了充分了解之后，通过现代绩效考核相关理论的指导，系统的分析和研究C营
业部的绩效考核制度和体系，并对其绩效考核体系进行设计和完善，使之更加
贴合实际工作情况，更准确的反映出员工的实际工作状态
本文一共包括六章内容。第一章绪论明确了证券行业绩效体系构建的大背
景，提出了改良研究对象的实际意义。第二章通过对绩效考核和绩效管理相关
概念的阐述，指出了绩效考核和绩效管理之间的区别与联系，为后文进行绩效
考核体系构建做好了铺垫。第三章通过对调查问卷结果的反馈对C营业部的绩
效考核体系进行了具体的数据分析，剖析了C营业部各个岗位的绩效考核现状，
并对其现行的员工考核体系中存在的问题进行了有针对性的归纳和总结。第四
章运用关键绩效指标法提取了适合C营业部现状的关键考核指标，并根据具体
问卷利用层次分析法确定了各项指标在不同岗位考核中所占的权重。第五章研
究了C营业部新绩效考核体系的实施并为之从五个方面设立了强有力的保障措
施。最后一个章节是对全文结论的总结并提出本研究的不足之处，里面归纳了
本文的主要研究结论，并指出了研究中存在问题和不足
关键词：证券企业；员工绩效；关键绩效考核；层次分析法
ABSTRACT
III
ABSTRACT
Since the advent of the Internet era, the transparency of information has great
impact on the financial business which used to receive their enormous earnings from
asymmetric information. In particular, securities companies suffered a lot from this,
which can be seen clearly in the sharp decline of commission income, the
increasingly high customers’ demand for investment research and many other aspects.
In order to meet customers’ demand and stand firm in the fierce market competition,
traditional securities company have to seek changes in development to adapt to the
new era. Under the background of homogeneous service and lowest commission
income, companies with outstanding talents, more strength and cohesiveness can be
more competitive in the market. With the fast development of network finance and
the accelerated layout of securities companies, it is of great importance to make an
elaborate and reasonable system of talents appraisal and performance analysis to
select talents in mixed industry and avoid the bad practice of carelessness and
negative acts in the companies.
The object of study in this dissertation is the performance appraisal system in C
Business Department of G Securities Company. On the basis of specific investigation
and questionnaires, the performance appraisal system in C Business Department is
analyzed and studied systematically after being fully understood under the guidance
of the relevant theory about modern performance appraisal. Then this system is
further designed and improved to make it fitter for practical work and reflect the real
work status of employees more accurately.
There are overall six chapters in this paper. Chapter one is the introduction
which explicate the background of building the performance system in securities
business and the significance of improving the object of study. Chapter two illustrates
the relevant concepts of performance appraisal and performance management and
indicates their differences and relations, which paves the way for the building of
performance appraisal system in the following context. Chapter three analyzes the
ABSTRACT
IV
specific data of performance appraisal system in C Business Department and the
current situation of performance appraisal in every position through the results of
questionnaires, and summarizes the problems existing in the present appraisal system.
Chapter four extracts the key appraisal indexes which are suitable for the current
situation in C Business Department by using the method of key performance indexes
and confirms the weights of each index in different position appraisal by using AHP
(Analytic Hierarchy Process) in accordance with specific questionnaires. Chapter five
studies the implement of the new performance appraisal system in C Business
Department and set up powerful supporting measures from five aspects. Chapter six
is the conclusion of this study, which summarizes the main research results and points
out the problems and limitations.
Key Words: Securities Company; employee performance; key performance appraisal;
AHP (Analytic Hierarchy Process)。。。。。。
==>> 点击下载文档
