党的十八大以来，我国银行业进入深度调整期，一方面，金融风险不断暴 露，金融监管形势日趋严峻，金融领域警示案件层出不穷，防范和化解金融领 域风险已成为党中央确定的“三大攻坚战”之一；另一方面，互联网、大数据、 人工智能等技术日新月异，金融行业面临的外部冲击和跨界挑战越来越频繁。 中层管理者作为银行干部体系的重要环节，其整体素质的高低直接影响银行的 长远发展，因此，提升中层管理者的岗位胜任力，对中层管理者培训成为银行 培训体系的重中之重。 论文以河南省LY银行中层管理人员为研究对象，分析了其中层管理者培训 存在的主要问题：一是培训需求不明确，培训需求疲于应付阶段性工作，培训 重点不突出。二是培训课程设计欠科学，难以体现KSA原则，课程设计浮于表 面，提升中层管理者岗位胜任力的针对性不突出，没有在知识、操作、技能和 态度层面形成培训合力。三是培训实施过程传统化，实施过程传统，激励中层 管理者学习积极性的作用不突出。四是培训评估与检视中层管理者岗位胜任力 是否提升脱节，评估流于形式，培训评估的有效性不突出。五是中层管理者自 身的培训观念存在差异化，加之缺乏有效的保障机制，导致培训参与度参差不 齐，效果难以保障。造成这些问题的原因主要是培训管理机制不成熟、中层管 理者的职责和定位不清晰、以及中层管理者评价机制不全面等因素。 针对LY银行存在的这些问题，从以下五个方面进行优化。一是中层管理者 培训需求与发展战略、岗位胜任力和阶段性工作重点三结合，优化中长期人才 发展规划和年度中层管理者培训计划，做到重点突出。二是围绕岗位胜任力差 距，优化中层管理者培训课程体系，确定课程学习目标，使之更加精准化，更 加贴合实际。三是针对中层管理者学习特点，优化培训实施方式，创新培训渠 道和培训方法，激发其参与培训的积极性。四是采用柯氏四级评估法，优化中 层管理者培训评估形式，着重评估其岗位胜任力提升效果，重视行为及态度的 提升改善。五是从多个层面优化中层管理者的培训管理配套措施，保障其培训 按照计划开展，保障培训效果。 关键词：LY银行；中层管理者；培训体系 II Abstract Sincethe18thNationalCongressoftheCommunistpartyofChina(CPC), China'sbankingindustryhasenteredaperiodofprofoundadjustment.Ontheother hand,theInternet,bigdata,artificialintelligenceandothertechnologiesarechanging witheachpassingday,andthefinancialindustryisfacingincreasinglyfrequent externalshocksandcross-borderchallenges.Middle-classmanagersplayavery importantroleinvariouspositionsinthebank,suchasuploadingandgivingorders, implementingstrategies,guidingbusiness,coachingandsoon.Therefore,thetraining ofmiddle-classmanagersisthetoppriorityinthebanktrainingsystem. ThispapertakesLYbankofHenanprovinceastheresearchobject,andanalyzes themainproblemsexistinginthetrainingofmiddle-classmanagers.First,the analysisoftrainingneedsisoutofstepwiththecompany'sdevelopmentstrategy.The trainingneedsaretoobusytocopewiththephasedworkandthetrainingfocusisnot prominent.Second,thetrainingcoursedesignisoutoftouchwiththepost competencyofmiddle-classmanagers,thecoursedesignissuperficial,andthe pertinenceofimprovingthepostcompetencyofmiddle-classmanagersisnot prominent.Third,thetrainingimplementationprocessisoutoftouchwiththelearning characteristicsofmiddlemanagers.Thetraditionalimplementationprocessdoesnot playaprominentroleinstimulatingthelearningenthusiasmofmiddle-class managers.Fourth,thetrainingevaluationisoutoftouchwiththepromotionofthe competenceofmiddle-classmanagers.Theevaluationisamereformalityandthe effectivenessofthetrainingevaluationisnotoutstanding.Fifth,middle-class managershavedifferenttrainingconcepts,andlackofeffectiveguaranteemechanism, resultinginuneventrainingparticipationanddifficulttoguaranteetheeffect. Asanimportantexecutorandparticipantofthecompany'sstrategy,the middle-classmanagersfirstlyanalyzedthedevelopmentstrategyofLYbankinthe trainingoptimizationstage,builtthecompetencymodelofmiddle-classmanagers aroundthedevelopmentstrategy,andproposedfivetrainingoptimization measures.First,weshouldcombinetrainingneedswithdevelopmentstrategies,job III competencyandphasedworkpriorities,andoptimizethelong-termtalent developmentplanandannualtrainingplantohighlightthekeypoints.Thesecondis tooptimizethetrainingcoursesystemformiddle-classmanagerstomakeitmore targetedbyfocusingonthecompetencygap.Third,accordingtothelearning characteristicsofmiddle-classmanagers,optimizethetrainingimplementation methods,innovatethetrainingchannels,andstimulatetheenthusiasmoftraining participation.Fourth,adoptthefour-levelassessmentmethodtooptimizetheformof middle-classmanagers'trainingandassessment,andfocusonevaluatingthe improvementeffectoftheirpostcompetency.Fifth,optimizetrainingsupporting measurestoensurethetrainingeffectofmiddle-classmanagers. KeyWords:LYbank;middle-classmanagers;trainingsystem IV 目录 第一章绪论..............................................................................................1 第一节研究背景及意义..................................................................................................1 一研究背景....................................................................................................................1 二研究意义....................................................................................................................2 第二节国内外研究综述..................................................................................................2 一国外研究综述............................................................................................................2 二国内研究综述............................................................................................................3 第三节主要研究内容与方法.........................................................................................4 一研究内容....................................................................................................................4 二研究方法....................................................................................................................5 第四节创新点和不足.........................................................................................................6 一主要创新点................................................................................................................6 二不足之处....................................................................................................................6 第二章LY银行中层管理者培训体系现状..........................................................7 第一节LY银行中层管理者培训体系概述................................................................7 一LY银行及中层管理者介绍.......................................................................................7 二LY银行中层管理者培训体系分析.........................................................................12 第二节LY银行中层管理者培训体系存在的问题.................................................16 一培训需求不明确......................................................................................................16 二课程设计欠科学......................................................................................................17 三培训实施传统化......................................................................................................17 四培训评估形式化......................................................................................................18 五配套措施不健全......................................................................................................19 第三节LY银行中层管理者培训体系存在问题的原因.......................................19 一机制因素..................................................................................................................19 V 二管理因素..................................................................................................................20 三个人因素..................................................................................................................20 第三章LY银行中层管理者培训目标及培训优化措施.............................22 第一节中层管理者培训目标.......................................................................................22 一培训目标与发展战略相结合..................................................................................22 二培训目标与岗位胜任力相结合.......................