经济全球化是21世纪的企业发展的主要形式。我国的不少企业在经济全球 化背景下走出国门，参与到全球的经济建设和发展当中。而相对的也有不少国外 企业看好中国的经济发展潜力，多年来持续投资中国市场，其中就有通过证券市 场进入的资金正在资本市场上运作。国内的证券企业在与国外的证券企业相比较 而言，仍然有较多的不足之处。特别是日趋激烈的市场竞争正在加大考验国内证 券企业的管理水平。在此背景下，绩效考核体系的完善性最为突出，不仅对业绩 贡献十分重要，而且也体现了证券企业的管理能力。 近年来，以OKR 为代表的一些具备成长性的新型绩效管理模式开始受到管 理阶层的广泛关注。OKR 模式通过目标与关键成果的价值引导功能，激励员工主 动创造价值，促进组织整体绩效的提升。本文以YH证券HZ营业部营销部门绩效 考核管理为研究对象，通过文献研究、现场调查、案例研究等方法对YH证券HZ 营业部的绩效管理进行了深入分析，发现目前HZ营业部营销部门的绩效管理是 以KPI做绩效考核的方式存在着效果欠佳、考核流于形式、无法支撑营业部的发 展等现象。在问卷调查的基础上认为该部门存在着：绩效指标设置单一，缺乏针 对性；绩效目标设立存在缺陷，不能有效达问题；考核结果运用单一；绩效考核 结果沟通存在障碍四个方面的问题。 本文通过引入OKR 绩效考核的相关理论和方法，结合该部门的实际情况提 出了实用有效、操作性强的OKR绩效管理方式，对营业部的基础管理工作进行改 YH证券HZ营业部营销部门绩效管理优化研究 善，从根本制度上做出优化，从而强化员工绩效，促进营业部更好更快地发展。 一方面，从HZ营业部的营销部门实际工作角度进行财务和客户两个维度的工作 指标设立，通过自上而下和自下而上相结合的方式创建 OKR 体系，确保绩效规 划的合理性；另一方面，建立持续性的、贯穿全过程的双向沟通反馈通道，使考 核体系深入人心。同时加强企业文化建设，为绩效管理体系的实施保驾护航。最 后，基于价值分享理念，有针对性地使用物质或非物质奖励手段，进一步完善激 励机制。 关键词：绩效管理，OKR，证券营业部 YH证券HZ营业部营销部门绩效管理优化研究 RESEARCH ON PERFORMANCE MANAGEMENT OPTIMIZATION OF MARKETING DEPARTMENT OF YH SECURITIES HZBUSINESS DEPARTMENT ABSTRACT Economic globalization is the main form of enterprise development in the 21st century. Many enterprises of our country go abroad under the background of economic globalization and participate in the global economic construction and development. In contrast, many foreign enterprises are optimistic about China's economic development potential. They have been continuously investing in the Chinese market for many years, among which there are funds entering through the securities market operating in the capital market. Compared with foreign securities companies, domestic securities companies still have many shortcomings. Especially, the increasingly fierce market competition is increasing to test the management level of domestic securities enterprises. In this context, the perfection of performance appraisal system is the most outstanding, which not only contributes to the performance, but also reflects the management ability of securities enterprises. In recent years, some new growth performance management models represented by OKR have been widely concerned by the management. OKR mode through the value guidance function of objectives and key achievements, encourages employees to create value actively and promotes the overall performance of the organization. In this paper, YH securities Hz business department marketing department performance appraisal management as the research object, through literature research、field investigation、 case study and other methods of YH securities Hz business department performance management in-depth analysis, found that the current Hz business department marketing department performance management is KPI performance appraisal way, there is poor effect, appraisal in form, unable to support the development of the business department Exhibition and other phenomena. On the basis of the questionnaire survey, the author thinks that there YH证券HZ营业部营销部门绩效管理优化研究 are four problems in this department: single set of performance indicators, lack of pertinence; defects in the set of performance objectives, unable to effectively achieve the problem; single use of assessment results; obstacles in the communication of performance assessment results. By introducing the relevant theories and methods of OKR performance appraisal, combined with the actual situation of the Department, this paper puts forward a practical and effective OKR performance management mode with strong operability, improves the basic management of the business department, optimizes the basic system, so as to strengthen staff performance and promote the better and faster development of the business department. On the one hand, from the perspective of the actual work of the marketing department of Hz business department, set up the work indicators of the two dimensions of Finance and customers, and create the OKR system through the combination of top-down and bottom-up to ensure the rationality of performance planning; on the other hand, establish a continuous, two-way communication and feedback channel throughout the whole process, so that the assessment system is deeply rooted in the hearts of the people. At the same time, strengthen the construction of corporate culture to guarantee the implementation of performance management system. Finally, based on the concept of value sharing, we should use material or non-material incentives to further improve the incentive mechanism. KEYWORDS: Performance management，Okr，Securities business department YH证券HZ营业部营销部门绩效管理优化研究 目 录 第一章 绪论 .............................................. 1 第一节 选题背景和意义 .............................................................................................. 1 一、选题背景 ......................................................... 1 二、研究意义 ......................................................... 3 第二节 研究思路、内容和研究方法 ............................................................................ 3 一、研究思路和内容 ................................................... 3 二、研究方法 ......................................................... 4 第二章 基本概念及相关理论 ................................. 6 第一节 绩效管理概念和方法 ....................................................................................... 6 一、绩效管理 ......................................................... 6 二、绩效管理方法 ..................................................... 7 第二节 OKR理论 ....................................................................................................... 7 一、OKR的概念 ........................................................ 7 二、OKR的特征 ........................................................ 8 三、OKR与KPI的区别 .................................................. 8 四、OKR的设计流程 .................................................... 9 五、OKR绩效管理的优势 ................................................ 9 第三节 文献综述 ....................................................................................................... 10 一、关于绩效管理的研究 .............................................. 10 二、关于OKR的研究 .................................................. 12 YH证券HZ营业部营销部门绩效管理优化研究 第三章 HZ营业部营销人员绩效管理现状分析 .................. 14 第一节 YH证券公司及HZ营业部概况 .................................................................... 14 一、YH证券公司发展概况 .............................................. 14 二、HZ营业部发展概况 ................................................ 16 第二节 HZ营业部营销部门绩效管理现行方案 ......................................................... 18 一、营销职能部门绩效考核内容 ......................................... 18 二、绩效考核等级的设定及评定要求 ..................................... 19 三、考核结果的运用 .................................................. 20 第三节 HZ营业部营销部门绩效管理存在问题及成因 .............................................. 21 一、问卷调查基本信息统计............................................. 21 一、HZ证券营业部营销人员绩效管理存在问题 ............................ 22 二、HZ营业部