经过三十多年的发展，中国证券市场逐渐成熟，取得了良好的发展，已成为 中国国民经济的重要组成部分。而证券公司，则是促进证券行业发展的主要推手， 在证券市场的发展中起到了重要作用。但目前，随着同质化现象的加重、外资券 商的冲击越来越强等风险与挑战的出现，中国证券公司的生存与竞争环境与之前 相比恶化了不少。这种情况下，为对环境变化做出正确的回应，提升生存与发展 能力，证券行业以及证券公司营业部的转型发展势在必行。S证券济南营业部在 过去七年中取得了良好的发展与经济效益，但是不可否认的是，与多数同类公司 一样，其发展能力正在逐渐减弱、面临的发展阻力越来越大，亟需通过变革来改 变局面。因此如何对发展战略进行革新、实现转型发展是目前S证券济南营业部 所必须解决的问题。 由此，本文从S证券济南营业部的实际情况出发，结合国、内外相关研究的 发展现状，运用战略管理理论的相关观点，通过PEST宏观环境分析、波特五力 模型分析、IE矩阵分析、SWOT分析以及QSPM矩阵分析等战略识别、制定、 实施与管理方法，确定S证券济南营业部实现转型发展的具体战略，并对战略实 和保障制定具体措施。 本文通过对S证券济南营业部所处环境进行分析，主要包括内部环境分析、 外部环境分析以及竞争环境分析，得出并确立了济南营业部目前应采取扩张型战 略的研究结论；而且，扩张型战略又由产品战略、营销及宣传战略以及人员战略 组成，简单来说，产品战略可简要描述为丰富业务内容、转变业务重心并且注重 品牌的建立与维护，营销及宣传战略的主要内容为拓展营销渠道、提升营销水平， 人员战略主要包括人才招聘与引进、培养与培训、薪酬与激励三部分；最后，为 保证新战略规划的顺利实施，研究还从合规风险控制、组织制度与结构、资源支 持与保障三个方面提出了S证券济南营业部战略实施的控制与保障措施。 关键词：证券；转型；发展战略；战略管理；战略实施 S证券济南营业部发展战略研究 II Abstract After more than 30 years of development, China's securities market has gradually matured and achieved good development, and has become an important part of China's national economy.The securities company is the main driving force to promote the development of the securities industry and plays an important role in the development of the securities market.But at present, with the aggravation of the phenomenon of homogenization, foreign securities companies increasingly strong impact of the emergence of risks and challenges, the survival and competitive environment of Chinese securities companies compared with the previous deteriorated a lot.In this case, the transformation and development of the securities industry and securities companies is imperative in order to make a correct response to environmental changes and improve the survival and development ability.In the past seven years, Jinan Business Department of S Securities has achieved good development and economic benefits. However, it is undeniable that, like most similar companies, its development capacity is gradually weakening and it faces increasing development resistance, so it is urgent to change the situation through reform.Therefore, how to innovate the development strategy and realize the transformation development is the problem that S Securities Jinan Business Department must solve at present. S证券济南营业部发展战略研究 III Thus, in this paper, starting from the actual situation of Jinan S securities business departments, combining with the development of, the relevant domestic and international research status quo, using relevant strategic management theory point of view, through PEST macro environment analysis, porter five model analysis, IE matrix analysis, SWOT analysis, QSPM matrix analysis strategy to identify, formulate, implement and management method, determine the Jinan S securities sales department the concrete strategy of the transformation of development, and formulate specific measures to strategic and security. This paper analyzes the environment of the Jinan department of S securities, including internal environment analysis, external environment analysis and competitive environment analysis.And expansionary strategy and product strategy, marketing and promotion strategy, and strategy of personnel, in simple terms, the product strategy can be briefly described as rich content, change business center of gravity and pay attention to brand building and maintenance, the main content of the marketing and promotion strategy to expand marketing channels, enhance the level of marketing and strategy mainly includes recruitment and introduction, cultivation and training, compensation and incentive three parts;Finally, in order to ensure the smooth implementation of the new strategic plan, the study also puts forward the control and guarantee measures for the strategic implementation of Jinan sales department of S securities from S证券济南营业部发展战略研究 IV three aspects: compliance risk control, organizational system and structure, and resource support and guarantee. Keywords: Securities; Transformation; Development Strategy; Strategic Management; Strategy Implementation S证券济南营业部发展战略研究 V 目 录 中文摘要 ................................................................. I Abstract ..................................................................................................................................... II 目 录 ....................................................................................................................................... V 第一章 绪论 ........................................................................................................................... 1 1.1 研究背景及研究意义 .................................................................................................... 1 1.1.1研究背景 .................................................................................................................. 1 1.1.2研究意义 .................................................................................................................. 3 1.2 国内外研究现状 ............................................................................................................ 4 1.2.1国内研究现状 .......................................................................................................... 4 1.2.2国外研究现状 .......................................................................................................... 7 1.2.3研究评述 .................................................................................................................. 9 1.3 研究内容、方法与思路 ................................................................................................ 9 1.3.1研究内容 .................................................................................................................. 9 1.3.2研究方法 ................................................................................................................ 10 1.3.2研究思路 ................................................................................................................ 11 第二章 战略管理理论与方法 ............................................................................................. 12 2.1 战略管理理论 .............................................................................................................. 12 2.2 战略管理方法 .............................................................................................................. 13 2.2.1 波特五力模型 ....................................................................................................... 13 2.2.2 IE矩阵分析 ........................................................................................................... 15 2.2.3 SWOT分析 ............................................................................................................ 17 2.2.4 PEST分析 .............................................................................................................. 18 第三章 S证券济南营业部发展与战略现状 ...................................................................... 20 3.1 S证券公司简介 ......................................................................................................... 20 3.2 S证券济南营业部发展现状 ...........................................................................