随着经济增速换挡，商业银行开始进入高风险、低回报的发展新阶段。在这 一阶段，银行风险成本和资金成本“双升”，利差空间缩小，盈利空间变窄，银 行之间竞争进一步加剧，导致传统贷款业务不再是商业银行最主要的利润支撑点， 投行业务成为创新业务的引领者。实践表明，银行投行业务可以帮助商业银行寻 找新的利润增长点，从而促使商业银行经营模式进行快速转型。 随着外部竞争的加剧以及业务不断拓展而内部疏于管理，交通银行投资银行 部逐渐暴露出一些问题，诸如：投行部绩效考核指标与员工工作的关联度较差， 使部门员工收入与贡献度不匹配，从而基于绩效考核产生的收入与其他商业银行 投行部员工收入相比差距较大，结果制约了员工工作积极性，导致投行部人才流 失严重，交通银行利润可持续增长乏力。因此，为了提升投行部员工工作绩效， 增强交通银行利润增长能力，提升交通银行市场竞争力，优化投行部绩效指标考 核体系已经势在必行。 本文以交通银行投资银行部员工作为研究对象，从五个方面开展了相关研究。 第一部分，主要阐述了研究背景与意义、研究框架；第二部分，相关理论综述， 主要就绩效、绩效考核指标等关键概念以及相关理论进行综述，并总结国内外相 关研究成果；第三部分，通过问卷调查法，对该部门员工绩效考核指标实施现状 与结果进行调查，识别绩效考核指标中存在的关键问题：考核指标没有恰当反映 企业战略目标、没有恰当反映员工实际工作内容、基于绩效考核的激励与员工贡 献度不匹配等，并就产生这些问题的原因进行剖析；第四部分为本文的重点，主 要是基于交通银行战略发展要求和员工主要工作内容，运用关键绩效指标方法， 识别并构建投行部员工关键绩效指标，并将指标进行分解，科学分配考核权重， 优化投行部绩效考核指标体系；第五部分，为了有效实施新的绩效考核指标体系， 根据投行部实际情况，就如何完善相关保障措施，确保优化方案顺利实施的问题 进行探讨。 期望通过优化投行部的绩效考核指标体系，使绩效考核指标更好地反映工作 内容与市场竞争形势，能够更好地调动员工工作积极性，进而推动交通银行战略 发展目标的实现，同时，也期望本研究能够为其他银行的投资部优化绩效指标提MBA 学位论文 作者：陈潇宇 交通银行投资银行部员工绩效考核指标体系优化研究 II 供一定的借鉴意义。 关键词：绩效考核指标，优化方案，关键绩效指标，交通银行，投资银行部MBA 学位论文 作者：陈潇宇 交通银行投资银行部员工绩效考核指标体系优化研究 III RESEARCH ON THE OPTIMIZATION OF IBD STAFF PERFORMANCE APPRAISAL INDICATORS SYSTEM IN THE BANK OF COMMUNICATIONS Abstract As the economic growth rate changes gears, commercial Banks begin to enter a new stage of development with high risks and low returns. In this stage, the risk cost and capital cost of Banks double rise, the interest margin space is narrowed, the profit space is narrowed, and the competition between Banks is further intensified. As a result, the traditional loan business is no longer the most important profit support point of commercial Banks, and the investment banking business becomes the leader of innovative business. Practice shows that the investment banking business can help commercial Banks find new profit growth points, thus promoting the rapid transformation of commercial Banks' business model. Because of the external competition and internal poor management, business development investment banking is gradually exposed some problems, such as: correlation of investment bank department performance evaluation indicators and the staff is bad, make employees income and contribution does not match, which is based on performance evaluation of income compared with other commercial Banks investment banking department staff income gap is larger, the result has restricted the staff's work enthusiasm, lead to investment bank brain drain is serious, traffic bank profits and sustainable growth. Therefore, it is imperative to optimize the performance evaluation system of the investment banking department in order to improve the performance of the employees of the investment banking department, enhance the profit growth capacity of the bank of communications and enhance the market competitiveness of the bank of communications. This paper takes the employees of the investment banking department of bank of communications as the research object and carries out relevant researches from five aspects. The first part, mainly elaborated the research background and the significance, the research frame; The second part is a review of relevant theories, mainly focusing on key concepts such as performance,MBA 学位论文 作者：陈潇宇 交通银行投资银行部员工绩效考核指标体系优化研究 IV performance assessment indicators and relevant theories, and summarizing relevant research results at home and abroad. The third part, through the questionnaire investigation, the staff performance appraisal indicators implementation present situation and the results to investigate, identify the key problems existing in the performance appraisal index, appraisal index not properly reflect the enterprise strategic goals, not properly reflect the employees' actual working content, based on performance evaluation of incentive and employee contribution does not match, etc., and analyzes the causes of these problems; The fourth part is the focus of this paper. Based on the strategic development requirements of the bank of communications and the main work contents of the staff, it identifies and constructs the key performance indicators of the staff of the investment bank by using the method of key performance indicators, and decompositions the indicators to scientifically allocate the assessment weights and optimize the performance assessment indicator system of the investment bank. In the fifth part, in order to effectively implement the new performance appraisal index system, according to the actual situation of the investment banking department, how to improve the relevant guarantee measures to ensure the smooth implementation of the optimization scheme is discussed. Expectations by optimizing the investment bank's performance appraisal index system, better reflect the index of performance appraisal work content and market competition situation, better able to arouse the enthusiasm of staff, and thus promote the realization of the strategic development goal of bank of communications, at the same time, also hope this study to other Banks, investment optimization performance indicators provide certain reference significance. Key words: Bank Of Communications, Investment Banking Division, performance index system of the employee, optimized scheme, key performance indexMBA 学位论文 作者：陈潇宇 交通银行投资银行部员工绩效考核指标体系优化研究 V 目 录 中文摘要................................................. I Abstract ............................................... III 第一章 绪论.............................................. 1 1.1 背景与意义 ..................................................1 1.2 研究内容与方法 ..............................................2 1.2.1 研究内容 ................................................2 1.2.2 研究方法 ................................................2 1.3 研究思路与框架 ..............................................3 第二章 相关理论概述...................................... 5 2.1 绩效考核 ....................................................5 2.1.1 绩效的定义 ..............................................5 2.1.2 绩效考核的定义 ..........................................5 2.1.3 绩效考核的作用 ..........................................5 2.1.4 绩效考核的常用方法 ......................................6 2.2 绩效考核指标 ................................................8 2.2.1 绩效考核指标的定义 ......................................8 2.2.2 绩效考核指标的分类 ......................................9 2.2.3 关键绩效指标 ............................................9 2.2.4 平衡记分卡 .............................................10 2.3 国内外研究现状 .............................................12 2.3.1 国外研究现状 ...........................................12 2.3.2 国内研究现状 ...........................................12 第三章 交通银行投资银行部员工绩效考核指标存在问题及原因. 15 3.1 交通银行简介 ...............................................15MBA 学位论文 作者：陈潇宇 交通银行投资银行部员工绩效考核指标体系优化研究 VI 3.1.1 金融行业发展现状 .......................................15 3.1.2 交通银行的发展历程 .....................................15 3.1.3 交通银行投资银行部组织架构 .............................16 3.2 交通银行投资银行部员工绩效考核指标现状 .....................18 3.2.1 投资银行部业务介绍 .....................................18 3.2.3 投资银行部绩效考核指标 .................................19 3.3 投资银行部员工绩效考核指标存在的问题及原因分析 .............20 3.3.1 投资银行部员工绩效考核指标存在问题问卷调查 .............20 3.3.2 员工绩效考核指标存在问题分析 ...........................22 3.3.3 产生问题的原因分析 .....................................25 第四章 交通银行投资银行部员工绩效考核指标优化设计....... 28 4.1 员工绩效考核指标优化目的及原则 .............................28 4.1.1 优化目的 ...............................................28 4.1.2 优化原则 ...............................................28 4.1.3 优化方法选择 ...........................................29 4.2 绩效考核指标优化的主要内容 .................................29 4.2.1 公司战略 ...............................................29 4.2.2 指标优化 ...............................................29 5.1 实施的保障措施 .............................................44 5.1.1 制度保障 ...............................................44 5.1.2 组织保障 ...............................................44 5.1.3 技术保障 ...............................................45 5.1.4 文化保障 ...............................................45 5.2 实施的具体步骤 .............................................45 5.2.1 成立绩效考核小组 .......................................45 5.2.2 宣传绩效考核方案 .......................................46MBA 学位论文 作者：陈潇宇 交通银行投资银行部员工绩效考核指标体系优化研究 VII 5.2.3 周期性考核 .............................................46 5.2.4 绩效考核结果及应用 .....................................46 5.2.5 考核信息的反馈与沟通 ...................................46 第六章 结论与展望....................................... 47 6.1 本论文主要结论 .............................................47 6.2 未来展望 ...................................................47