MBA学位论文
作者：何健
国联证券中层管理干部培训体系优化研究
国联证券中层管理干部培训体系优化研究
中文摘要
中国证券行业在财富管理转型的大背景下，证券公司之间的竞争已经从营
销竞争、渠道竞争、价格竞争升级为服务竞争、人才竞争和管理竞争。作为典
型的知识密集型行业，证券公司最大的差异化就是人的差异化，中小券商想要
实现弯道超车，从人才培养上着手，打造一只具备战斗力的业务团队和管理团
队是可能性最大的方向。国联证券作为中小券商，在当前发展的关键阶段，面
临着中层管理干部的能力无法满足公司发展战略要求的问题；干部培训体系长
期缺失，人才梯队出现断层的问题；营业部的组织架构混乱，中层管理干部普
遍缺少体系化管理能力的问题。
针对国联证券面临的上述问题，本论文选择中层管理干部的培训体系作为
研究对象，在学习型组织理论、行动学习理论、成人学习理论和四层次评估模
型理论的指导下深入剖析国联证券中层管理干部培训体系存在的问题，并做了
深刻的问题成因分析，最后针对存在的问题逐一给出了优化方案。优化方案从
培训需求调查分析体系、培训计划制定、课程设计开发体系、内部讲师养成体
系、培训形式、培训评估和跟踪辅导体系、培训支持与制度保障七个方面来进
行系统型论述，实现了对国联证券中层管理干部培训体系进行优化的研究目标。
对我国类似国联证券的中小券商中层管理干部培训体系建设提供了一定的参考
价值。
关键词：国联证券，中层管理干部，培训体系优化
I

MBA学位论文
作者：何健
国联证券中层管理干部培训体系优化研究
RESEARCH ON THE OPTIMIZATION OF THE
TRAINING SYSTEM FOR MIDDLE MANAGEMENT
CADRES OF GUOLIAN SECURITIES
Abstract
Under the background of wealth management transformation in China's
securities industry, the competition among securities companies has been upgraded
from marketing competition, channel competition and price competition to service
competition, talent competition and management competition. As a typical
knowledge-intensive industry, the biggest difference of securities companies is the
difference of people. If small and medium-sized securities firms want to overtake
others in a roundabout way, it is the most likely direction to start from talent training
and build a business team and management team with combat effectiveness. Guolian
Securities, as a medium and small brokerage, is facing the problem that the ability of
middle management cadres cannot meet the requirements of the company's
development strategy at the critical stage of its current development. The lack of
cadre training system for a long time and the fault of talent echelon; The
organizational structure of the business department is chaotic, and the middle
management cadres generally lack systematic management ability.
Against the league of securities of the above problems, this paper choose the
middle management cadre training system as the research object, the learning
organization theory, theory of action learning, adult learning theory and the four
level evaluation model theory in-depth under the guidance of the league of securities
problems of middle management cadre training system, and made penetrating
analysis of the problem causes, Finally, the optimization scheme is given one by one
for the existing problems. Optimization from the training demand analysis system,
training plan, course design and development system, the internal trainer to develop
system, training form, training evaluation and tracking guidance system, training
support and system guarantee seven aspects to system model, this paper implements
the securities of the league of nations the aim of middle management cadre training
II

MBA学位论文
作者：何健
国联证券中层管理干部培训体系优化研究
system is optimized. It provides some reference value for the construction of middle
management cadre training system of medium and small securities firms like
Guolian Securities in China.
Key Words: Guo'lian securities, Middle management cadre, Optimization of
training system
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