随着期货行业的影响日益突显，期货公司的发展也越来越被国家所重视。 2014 年 5 月出台的 “新国九条”中明确指出，要加强期货行业的建设，推进期 货行业的发展，增强期货行业的竞争力。2014 年 9 月，《关于进一步推进期货 经营机构创新发展的意见》的提出大大推进了期货公司创新业务的开展，加快形 成符合现代企业要求的国内综合型衍生品服务商。期货行业的发展被提高到国家 高度，首次上升为顶层设计。如何抓住国家政策性的机遇，大力快速发展，是期 货公司思考的重要问题。创新业务的松绑，意味着风险点的增加；金融牌照的放 开，意味着市场竞争的加剧，在这个机遇与挑战并存的时代，人才将成为期货公 司的核心竞争力，人才的引进将成为未来的主要竞争。健全的绩效管理体系将是 公司在人才战争中的强大竞争力，绩效考核作为绩效管理的核心部分，更是激起 员工工作热情，提高工作效率，吸引和留住优秀人才的重要途径。因此，设立一 套专业性强、实施性强且能引起员工共鸣的绩效考核办法对于一个期货公司来说 显得格外重要。 本文以华龙期货股份有限公司为研究对象，首先介绍了该选题的行业背景、 研究意义、研究内容、方法和思路。其次，全面概述了绩效考核的意义和评估方 法。从第三章开始，本文通过问卷调查和访谈，研究和分析了公司绩效评估的现 状，找出了问题。通过对原因的深入挖掘，结合绩效考核理论和方法，针对华龙 期货股份有限公司的具体情况优化绩效考核体系。包括绩效考核的培训，增设人 力资源部门作为考核的主体，使用平衡计分卡+关键绩效指标方法优化考核指标， 增加绩效考核反馈体系、监督机制和激励机制。最后，为了保障优化方案能够顺 利实施，从培育企业绩效考核文化、提高绩效考核信息技术支持、优化绩效考核 部门组织结构、完善绩效考核配套制度、跟踪落实绩效考核方案五个方面提出保 障措施。 本论文帮助华龙期货股份有限公司从企业文化、具体措施方法等方面，建立 切合企业实际的绩效考核体系，向企业所有员工传达一种正确的绩效考核理念与 绩效考核价值观，促进华龙期货股份有限公司绩效考核水平的提升，发挥绩效考 核的激励作用，吸引人才、保持核心竞争力，最终实现企业的战略目标，为国内兰州大学硕士学位论文 华龙期货股份有限公司员工绩效考核体系优化研究 II 期货行业其他公司的绩效考核提供参考和启示。 关键词：期货公司，绩效考核，优化兰州大学硕士学位论文 华龙期货股份有限公司员工绩效考核体系优化研究 III STUDY ON OPTIMIZATION OF EMPLOYEE PERFORMANCE APPRAISAL SYSTEM OF CHINA DRAGON FUTURES CO., LTD. Abstract With the increasingly prominent influence of futures industry, the development of futures companies has been paid more and more attention by the state. The “new country nine” issued in May 2014 clearly pointed out that the construction of futures industry should be strengthened, the development of futures industry should be promoted, and the competitiveness of futures industry should be enhanced. In September 2014, the proposal of “opinions on further promoting the innovation and development of futures operation institutions” greatly promoted the development of innovative business of futures companies, and accelerated the formation of domestic comprehensive derivatives service providers that meet the requirements of modern enterprises. The development of futures industry has been raised to the national level, and it is the top-level design for the first time. How to seize the opportunity of national policy and develop rapidly is an important issue for futures companies. The loosening of innovation business means the increase of rise points; The liberalization of financial license means the intensification of market competition.IN this era of both opportunities and challenges, talents well be the core competitiveness of futures companies, and the introduction of talents well become the main competition in the future. A sound performance management system will be the company’s strong competitiveness in the talent war. Performance appraisal, as the core part of performance management, is an important way to arouse employees’ enthusiasm, improve work efficiency and attract and retain excellent talents. Therefore, it is particularly important for a futures company to set up a set of professional, practical and resonant performance assessment methods. Talking China Dragon Futures co., LTD. as the research object, this paper firstly introduces the industry background, research significance, research contents, methods and ideas of this topic. Secondly, a comprehensive overview of the significance of兰州大学硕士学位论文 华龙期货股份有限公司员工绩效考核体系优化研究 IV performance appraisal and evaluation methods. Starting from the third chapter, this paper studies and analyzes the status quo of corporate performance evaluation through questionnaires and interviews, and finds out the problems. Through in-depth exploration of the reasons, combined with the performance appraisal theory and method, the performance appraisal system was optimized according to the specific situation of China Dragon Futures co., LTD.. It includes the training of performance assessment, the addition of human resources department as the main body of assessment index, the use of balanced scorecard key performance indicator method to optimize assessment indicators, and the addition of performance assessment feedback system, supervision mechanism and incentive mechanism. Finally, in order to ensure the smooth implementation of the optimization program, the guarantee measures are proposed from the following five aspects: cultivation enterprise performance appraisal culture, improving performance appraisal information technology support, optimizing the organizational structure of performance appraisal department, improving the supporting system of performance appraisal, and tracking and implementing the performance appraisal program. This paper help China Dragon Futures co., LTD. from the aspects such as enterprise culture, the way of specific measures, establishing relevant to the actual performance appraisal system, to the enterprise all employees to convey a correct concept of performance appraisal and performance values, promote futures co., LTD.. China Dragon performance appraisal level of ascension, give play to the role of performance evaluation of incentive, attract talent retaining core competitiveness, finally realizes the enterprise strategic goals, and performance appraisal of domestic futures industry other companies provide reference and enlightenment significance. Key words: Futures Company, Performance Appraisal, Optimization兰州大学硕士学位论文 华龙期货股份有限公司员工绩效考核体系优化研究 V 目 录 中文摘要.................................................I Abstract ............................................... III 第一章 绪论 .............................................1 1.1 研究背景及意义 ..............................................1 1.1.1 研究背景.................................................1 1.1.2 研究意义.................................................2 1.2 国内外研究现状 ..............................................3 1.2.1 国外研究现状.............................................3 1.2.2 国内研究现状.............................................5 1.3 研究内容、方法及研究思路 ....................................7 1.3.1 研究内容.................................................7 1.3.2 研究思路.................................................7 1.3.3 研究方法.................................................8 第二章 绩效考核概述 ....................................10 2.1 绩效考核概念 ...............................................10 2.1.1 绩效考核的含义与意义....................................10 2.1.2 绩效考核的原则..........................................10 2.2 绩效考核方法 ...............................................11 2.2.1 目标管理法（MBO）.......................................11 2.2.2 平衡计分卡（BSC）.......................................12 2.2.3 关键绩效指标法（KPI）...................................12 第三章 华龙期货股份有限公司员工绩效考核现状评价 ........14 3.1 华龙期货股份有限公司概况 ...................................14 3.1.1 华龙期货股份有限公司简介 ...............................14兰州大学硕士学位论文 华龙期货股份有限公司员工绩效考核体系优化研究 VI 3.1.2 华龙期货股份有限公司经营概况 ...........................15 3.1.3 华龙期货股份有限公司员工结构 ...........................17 3.2 华龙期货股份有限公司员工绩效考核现状 .......................19 3.3 华龙期货股份有限公司员工绩效考核存在的问题 .................21 3.3.1 员工对绩效考核缺乏认识且重视度不足 .....................21 3.3.2 前台绩效考核指标有待丰富 ...............................21 3.3.3 中后台绩效考核缺乏量化指标 .............................22 3.3.4 绩效考核沟通环节忽视专业性和连续性 .....................22 3.3.5 绩效考核评分具有主观性 .................................22 3.3.6 绩效考核结果未能有效的反馈和利用 .......................23 3.4 华龙期货股份有限公司员工绩效考核问题的原因分析 .............24 3.4.1 管理层未能高度重视绩效考核工作 .........................24 3.4.2 绩效考核指标未能与公司战略目标紧密联系 .................24 3.4.3 缺乏专业的绩效考核人员 .................................25 3.4.4 华龙期货股份有限公司发展与员工个体发展相分离 ...........25 第四章 华龙期货股份有限公司员工绩效考核体系优化方案设计 27 4.1 华龙期货股份有限公司员工绩效考核体系设计的总目标及原则 .....27 4.1.1 优化设计总目标 .........................................27 4.1.2 优化设计原则............................................28 4.2 华龙期货股份有限公司员工绩效考核体系优化方案 ...............29 4.2.1 加强绩效考核的前期宣传和培训 ...........................29 4.2.2 确定好绩效考核主体 .....................................30 4.2.3 绩效考核方法——平衡计分卡+关键绩效指标方法 ............30 4.2.4 增设绩效考核反馈机制 ...................................35 4.2.5 建立绩效考核监督机制 ...................................36 4.2.6 建设配套激励机制，有效利用绩效考核结果..................36兰州大学硕士学位论文 华龙期货股份有限公司员工绩效考核体系优化研究 VII 第五章 华龙期货股份有限公司员工绩效考核体系优化实施的保障 措施....................................................40 5.1 培育企业绩效考核文化 .......................................40 5.2 提高绩效考核信息技术支持 ...................................40 5.3 优化华龙期货股份有限公司部门组织结构 .......................40 5.4 完善绩效考核配套制度 .......................................41 5.5 跟踪落实绩效考核方案 .......................................42 第六章 结论与展望 ......................................43 6.1 研究结论 ...................................................43 6.2 研究展望 ...................................................44