世界发展变化的根本趋势是经济的全球化快速发展，家族企业在世界经济 发展中开始占据越来越重要的地位，同时早已成为支撑和推动我国经济发展的 重要力量。自改革开放后，我国家族企业开始逐步发展壮大起来，传统企业管 理模式和人才激励措施的劣势，逐渐显现出来并影响到企业的未来发展。 家族企业通过前期原始资本积累和在市场中占有的市场份额优势，进行 “二次创业”和企业改革创新，通过引入职业经理人的方式，对公司组织架构 和治理模式进行重新调整，是不可避免的发展方向和趋势。但在变革过程中， 如何成功的引入适合自身发展需求的职业经理人，并能够有效的达成公司未来 发展战略规划和发展目标，成为众多中小企业的一个难题。因此，通过对家族 企业的运营管理战略的改革，建立适合自身发展的现代企业管理制度，引入职 业化的人才管理企业，消除家族企业管理弊端，通过不断培养企业骨干力量和 专业人才，提高生产效率、增加市场份额以此增强企业核心竞争力，才是我国 家族企业做大做强，成就百年不朽基业的必经之路。 本文通过对目前国内外学者关于家族企业和职业经理人的相关研究成果进 行深入的梳理，同时结合经济学和管理学相关理论研究方法，以 SNY 公司为例 来论证我国家族企业在引入职业经理人过程中所遇到的相关问题和原因，当企 业在经营中遇到困难或者市场业绩不好时，家族企业主往往会选择偏轻看待社 会情感财富，更少的去承担社会情感责任的意愿，而通过委托代理获得充分授 权的职业经理人，往往会对企业内部提出一系列的改革方案以此期望获取更高 的个人利益。在这一过程中，往往会引起更多的矛盾和阻力出现，从而影响家 族企业更好的发展机遇。基于此，本文重点在于研究家族企业如何建立一整套 有效的职业经理人引入机制，去帮助企业完成使命、达成愿景，才能更好的去 实现家族企业和职业经理人的相互之间共同发展、合作共赢。 在本研究论文中总共分为了五个部分。第一章为绪论，介绍本文的研究背 景、研究意义、国内外研究综述和整个研究的思路和框架等等。第二部分为理 论基础，重点说明本文运营到的相关经济学和管理学理论。第三章以 SNY 公司 案例研究为例，重点阐述家族企业引入职业经理人后企业的发展变化情况及主 要问题。第四章为家族企业引入职业经理的优化对策和方案，提出相关建议。 第五章对本文进行一个简单的总结，以及相关研究成果给予到的启示进行说 明。I 对家族企业引入职业经理人的问题及对策的研究，是一个非常有现代意义 和重要社会价值的话题。结合分析目前的实际发展情况，本文期望为家族企业 在引入职业经理人这一问题上，提供更多的实践经验和理论研究。 关键词：家族企业；职业经理人；风险控制。I Abstract With the rapid development of the global economy as the fundamental trend of the change of the world, family firms are starting to occupy a more and more important position in the development of the world economy and have become an important force to support and promote the economic development of our country. Since the reform and opening-up, domestic family firms began to develop and expand gradually, and the disadvantages of the traditional model of company management and measures for personnel incentives began to appear and hinder the future development of companies. It is an unavoidable development direction and trend that based on the original capital accumulation at the prior period and the advantage of the market share, family firms implement “the second starting of a business” and reform and innovation with the introduction of professional managers to make readjustment to the structure and management model of firms. In the reform process, it becomes a difficult problem for many small and medium-sized enterprises that successful introduction of professional managers to be suitable for their development and make effective realization of future strategic plans and objectives. Thus, the reform of management strategies of family firms would be the only way to make the family firms in our country become bigger and stronger and achieve perpetual base. It is to build modern management system fitting to the development of enterprises with the introduction of professional personnel to administer enterprises. Through the way, the core competitive edge of enterprises could be enhanced with the diminishing of the disadvantages of the management of family firms, the fostering of backbones and professionals, the improvement of productivity and the enlarging of market share. Based on the present domestic and foreign literature review of family firms and professional managers, integrated with the related research methods in economics and management, SNY company is taken as an example to discuss the related problems and causes of domestic family firms in the process of the introduction of professional managers. When enterprises face difficulties in operation or do not have good market performance, family firms often pay less attention to social emotional wealth and shoulder less social emotional responsibilities. Instead, they propose a series of reform plans with the expectation of achieving more personal interests by full-I authorized professional managers through entrustment. In the process, there usually appear more contradictions and obstacles that would hinder better development opportunities of family firms. Based on the above analysis, the focus of the present dissertation is how to build a series of effective mechanisms of the introduction of professional managers for family firms. On the one hand, the mechanisms could help enterprises fulfill missions and realize prospects. On the other hand, achieve the win- win of both family firms and professional managers. There are altogether five parts in the dissertation. Chapter 1 serves as the introduction in which the research background, research significances, domestic and foreign literature review, research plan and structure are stated. Chapter 2 is the theoretical framework. The related theories in economics and management that are applied in the dissertation are illustrated. In chapter 3, taking SNY company as a case, the changes and major problems of family firms after the introduction of professional managers are discussed. In chapter 4, according suggestions are proposed for the optimization measures and plans for the introduction of professional managers for family firms. In chapter 5, a general conclusion is given and the enlightenments of related research achievements are explained. The research on problems of the introduction of professional managers in family firms and the countermeasures is a topic of much realistic significance and important social value. Based on the analysis of the present development situation in actuality, more practical experiences and theoretical research are expected to be offered for the issue of the introduction of professional managers for family firms in the dissertation.V 目 录 摘要 ..............................................................I Abstract ..........................................................Ⅲ 第 1 章 绪论 ........................................................1 1.1 研究背景....................................................1 1.2 研究意义...................................................2 1.3 国内外研究综述..............................................3 1.3.1 国外相关研究综述......................................3 1.3.2 国内相关研究综述......................................3 1.4 研究思路和框架.............................................6 第 2 章 理论基础 ....................................................7 2.1 家族企业的含义..............................................7 2.2 职业经理人的含义及其发展....................................8 2.2.1 职业经理人的含义......................................8 2.2.2 职业经理人的起源......................................9 2.2.3 我国职业经理人的发展现状.............................10 2.3 相关理论概述...............................................12 2.3.1 人力资本理论.........................................12 2.3.2 委托代理理论.........................................12 2.3.3 社会情感财富理论.....................................13 第 3 章 SNY 公司引入职业经理人存在的问题及原因分析..................15 3.1 SNY 公司概述 ...............................................15 3.1.1 公司简介.............................................15 3.1.2 职业经理人引入的改革尝试.............................15 3.1.3 “新政”执行过程中 Z 总经理的困境.....................16 3.1.4 对 SNY 公司案例的思考................................17 3.2 SNY 公司“顶层设计”存在的问题 ............................17 3.2.1 法人治理结构不健全...................................17 3.2.2 内部未建立职业经理人培养制度.........................18 3.2.3 企业文化建设不足.....................................18 3.3 企业主存在的问题...........................................19 3.3.1 依靠情感不能管理公司.................................19 3.3.2 战略规划缺乏.........................................19V 3.3.3 缺乏职业经理人引入标准...............................19 3.4 职业经理人存在问题.........................................20 3.4.1 职业经理人自身角色定位模糊...........................20 3.4.2 缺乏沟通.............................................21 第 4 章 家族企业引入职业经理人的优化 ...............................22 4.1“顶层设计”上的优化........................................22 4.1.1 健全和完善公司治理机制...............................22 4.1.2 规范选拔、激励和约束机制.............................23 4.1.3 建立职业经理人培养机制...............................23 4.2 企业家定位自我改变.........................................24 4.2.1 加强自身修养.........................................24 4.2.2 充分信任.............................................25 4.2.3 树立愿景、建立企业文化...............................26 4.3 职业经理人角色定位.........................................27 4.3.1 将才是职业经理的根本角色定位.........................27 4.3.2 职业经理人应当忠于职责...............................28 4.3.3 执行力是职业经理人的核心竞争力.......................29 4.3.4 防止角色迷失.........................................29 第 5 章 总结和建议 .................................................31 5.1 研究结论...................................................31 5.2 建议.......................................................31 5.3 研究的不足.................................................32 5.4 未来展望...................................................32