在公募基金行业，人才是核心资产和竞争力。建立合乎行业发展规 律的绩效管理体系，是公募基金管理公司吸引和留住优秀人才的关键因 素，对公司而言具有战略意义。本文通过Z公募基金管理公司的实际案 例，发现和分析目前销售人员绩效管理体系的问题。结合公募基金行业 背景和发展，参考同业公司经验，对该体系进行了再设计研究，有助于 更好地实现组织目标，提高组织效益。 在本文主体的第一部分，研究了绩效管理的相关理论。绩效管理既 是一个管理过程也是一个沟通过程，其目的是帮助组织完成诸多任务， 实现可持续发展。绩效管理流程可以分为七个环节，分别是目标设定、 有效分解、追踪体系、绩效评估、校准结果、考核应用、改进流程。常见 的绩效考核工具包括MBO、KPI、BSC、OKR、360度绩效考核等，各有 其实施的基础和前提，也各有优缺点。 第二部分，回顾了公募基金发展沿革并分析了Z公司销售人员绩效 管理体系的现状与问题。公募基金发展至今已逾二十年，随着各种新规 的出台，行业内外部同质化竞争愈发激烈，对于Z公司这样的中小型基 金管理公司而言，唯有做出特色才能突出重围，而机制和人才是发展的 基础。合理的绩效管理体系能够引导员工行为，激励人才、提高专业度 和敬业度，进而提升客户体验和满意度，最后有助于改善公司的经营业 绩。目前Z公司销售人员的绩效管理体系存在考核维度过于单一，缺乏 综合考量；没有建立与投资部门协同关系；过于着重量化指标，没有兼 顾软性指标等问题，因此有必要进行再设计研究。 第三部分，比较了公募基金行业同业公司的绩效管理体系并重新设 定了Z公司销售人员绩效管理体系的原则和方案。公募基金行业目前有 三种绩效管理体系分别是：预算控制下的目标奖金制、利润分享的事业 部提成制、以上两种模式的同时运用。Z公司结合自身情况、借鉴行业经 验、展望行业趋势，准备采用业绩提成结合目标奖的方式，将KPI作为 考核工具，遵循目标导向、过程可控、数据支持、及时兑现的原则，对销 售人员的绩效管理体系进行了再设计。 第四部分，简要阐述了Z公司销售人员绩效管理体系的配套措施。 第五部分，进行了全文总结和未来展望。本文的贡献在于为尚未进 行事业部改制的公募基金管理公司尤其中小型基金公司，提供了一种既 具备对销售团队和个人的激励效果又有助于实现组织目标的绩效管理体 系的选择。局限在于只考虑了短期激励，尚未使用长期激励手段。展望 未来，随着业务的拓展和人员的增设，需要不断制定合宜的绩效管理模 式，并在大数据和人工智能等不断发展的趋势下，尝试使用这些新技术 完善绩效管理体系。 关键词：公募基金管理公司，销售人员，绩效管理体系，再设计 RE-DESIGNING OF PERFORMANCE MANAGEMENT SYSTEM OF SALES TEAM IN MUTUAL FUND COMPANEY Z ABSTRACT In the public fund industry, talents are core assets and competitiveness. Establishing a performance management system in line with the law of industry development is the key factor for the public fund companies to attract and retain outstanding talents, which is of strategic significance to the companies. Through the actual case of Z Public Fund Company, this paper finds and analyzes the current performance management system of the sales team. Combining with the background and development of public fund industry, and referring to the experience of other companies, the system is redesigned, which is helpful to achieve the organizational goals and improve the organizational efficiency. In the first part of the main body of this paper, the relevant theories of performance management are studied. Performance management is not only a management process but also a communication process. Its purpose is to help the organization complete many tasks and achieve sustainable development. Performance management process can be divided into seven parts: goal setting, effective decomposition, tracking system, performance evaluation, calibration results, assessment application, and improvement process. Common performance appraisal tools include MBO, KPI, BSC, OKR, 360-degree performance appraisal, etc. Each has its basis and premise for implementation, but also has its advantages and disadvantages. The second part reviews the development of public funds and analyses the current situation and problems of Z Company’s salesman performance management system. The development of public funds has been more than 20 years, with the introduction of various new regulations, homogeneous competition within and outside the industry is becoming increasingly fierce. For small and medium-sized fund management companies like Z Company, only to make a distinctive feature to break through the encirclement, and the mechanism and human resources are the basis for development. Reasonable performance management system can guide staff behavior, motivate talents, improve professionalism and professionalism, and then enhance customer experience and satisfaction, and ultimately help to improve the company's operating performance. At present, the performance management system of Z Company’s sales team has some problems, such as too single evaluation dimension, lack of comprehensive consideration, lack of synergy with investment departments, too much emphasis on quantitative indicators, and no consideration of soft indicators, so it is necessary to redesign and study. The third part compares the performance management system of the same industry companies in the public fund industry and re-establishes the principles and programs of the performance management system of Z Company's salesmen. At present, there are three performance management systems in the public fund industry: the target bonus system under budget control, the royalty system for profit sharing, and the simultaneous application of the above two modes. Company Z, taking into account its own situation, drawing on industry experience and looking forward to industry trends, is prepared to adopt the method of performance commission combined with target award. KPI is used as an assessment tool, and the performance management system of sales team is redesigned in accordance with the principles of goal-oriented, process- controllable, data support and timely cash. The fourth part briefly expounds the supporting measures of Z Company's salesman performance management system. The fifth part summarizes the full text and prospects for the future. The contribution of this paper is to provide a choice of performance management system for public fund management companies, especially small and medium- sized fund companies, which have not yet undergone the restructuring of the public fund management department. The limitation lies in the fact that only short-term incentive has been considered and long-term incentive measures have not been used. Looking forward to the future, with the expansion of business and the establishment of personnel, it is necessary to constantly develop appropriate performance management model, and in the trend of continuous development of large data and artificial intelligence, try to use these new technologies to improve the performance management system. KEY WORDS: mutual fund company, sales team, performance management system, re-designing 目 录 第一章 导论 ............... 1 1.1 研究背景 .. 1 1.2 研究意义 .. 2 1.3 研究内容与研究方法 .............. 2 1.4 论文结构 .. 3 第二章 相关理论回顾 .............................. 4 2.1 绩效管理的定义和目的 .......... 4 2.1.1 绩效管理的定义 ................... 4 2.1.2 绩效管理的目的和作用 ....... 6 2.2 绩效管理流程 ......................... 6 2.3 绩效考核工具 ....................... 10 第三章 Z公司销售人员管理现状与问题 ........................... 14 3.1 公募基金行业的概况 ............ 14 3.2 Z公司的背景 ........................ 16 3.2.1 Z公司的沿革与团队 .......... 16 3.2.2 Z公司的组织架构 .............. 17 3.3 Z公司的战略与文化 ............ 18 3.4 Z公司的现状 ........................ 18 3.4.1 Z公司的行业排名 .............. 18 3.4.2 Z公司的公募基金产品线 .. 19 3.5 Z公司销售团队介绍 ............ 20 3.5.1 销售团队的结构组成 ......... 20 3.5.2 销售团队的分工 ................. 21 3.6 Z公司销售人员绩效管理体系的现状与问题 ..... 22 3.6.1 绩效管理体系的现状 ......... 22 3.6.2 目前绩效管理体系导致的问题 ........................ 23 3.7 Z公司绩效管理体系问题分析 ............................ 24 3.7.1 研究方法 ............................. 24 3.7.2 问题分析 ............................. 24 3.7.3 问题分析小结 ..................... 26 第四章 Z公司销售人员绩效管理体系的分析与再设