随着证券公司的竞争越来越激烈，如何在这样的市场环境中科学、合理地激发客户 经理工作热情和主观能动性，成为国内各证券公司密切关注的课题。证券公司的客户经 理是证券公司与客户之间的纽带，作为证券公司的骨干，客户经理必须根据客户的需要 为客户提供差异化、个性化、高品质、全方位的服务。因此，证券公司必须拥有一个强 大的客户经理团队，客户经理的选择、使用和培养就提上了公司的议事日程，特别是客 户经理绩效管理的要求更为突出。 本文以绩效管理的相关理论为基础，以 Z 证券黑龙江分公司客户经理队伍为研究对 象，通过对国内外绩效管理现状的梳理和问卷得到的数据，分析出 Z 证券黑龙江分公司 客户经理绩效管理现状并分析存在的问题，在得出 Z 证券黑龙江分公司客户经理绩效管 理的现状和存在问题后，探讨改进和完善 Z 证券黑龙江分公司客户经理绩效管理的思路 和方法，推动客户经理绩效考核与管理更加科学化、合理化，并提出 Z 证券黑龙江分公 司客户经理绩效管理存在问题的对策建议。依照改进措施来提高 Z 证券黑龙江分公司客 户经理的积极性、能动性，更好的围绕公司的战略目标服务，同时也为其他分公司客户 经理绩效管理提供参考。 关键词：Z 证券黑龙江分公司；客户经理；绩效考核；绩效管理东北石油大学 MBA 学位论文 III Research on Performance Management Problems and Countermeasures ofAccount Managers in Z Securities Heilongjiang Branch ABSTRACT As the competition of securities companies becomes more and more fierce, how to scientifically and reasonably stimulate the enthusiasm and subjective initiative of account managers in the ups and downs of the market environment has become a topic of close concern to domestic securities companies. The account manager of a securities company is the bond between the securities company and the customer. As the backbone of the securities company, the account manager must provide differentiated, personalized, high-quality and all-round services to the customer according to the needs of the customer. Therefore, the securities company must have a strong team of account managers. The selection, use and cultivation of the account manager are put on the agenda of the company. In particular, the requirements for account manager performance management are more prominent. Based on the relevant theories of performance management, this paper takes the customer manager team of Z Securities Heilongjiang Branch as the research object. Through the analysis of the status quo of performance management at home and abroad and the data obtained from the questionnaire, the status quo of performance management of customer managers of Z Securities Heilongjiang Branch is analyzed. And analyze the existing problems. After the status quo and existing problems of the performance management of the account managers of Z Securities Heilongjiang Branch, the paper discusses the ideas and methods of improving and perfecting the performance management of the account managers of Z Securities Heilongjiang Branch, and promotes the performance appraisal and management of account managers. It is more scientific and rational, and proposes countermeasures for the problems in the performance management of account managers of Z Securities Heilongjiang Branch. In accordance with the improvement measures, the enthusiasm and initiative of the account manager of Z Securities Heilongjiang Branch will be improved, and the strategic target service of the company will be better, and the performance management of other branch account managers will also be provided. Key Words: Z Securities Heilongjiang Branch; Broker; Performance Appraisal; Performance Management东北石油大学 MBA 学位论文 IV 目 录 学位论文独创性声明..................................................................................................................I 学位论文使用授权声明..............................................................................................................I 摘要.........................................................................................................................................II ABSTRACT..............................................................................................................................III 第 1 章 绪 论............................................................................................................................1 1.1 研究背景、目的与意义................................................................................................1 1.1.1 研究背景.............................................................................................................1 1.1.2 研究目的与意义.................................................................................................2 1.2 国内外研究现状综述...................................................................................................2 1.2.1 国外绩效研究现状.............................................................................................2 1.2.2 国内绩效研究现状.............................................................................................4 1.2.3 国内外研究评价.................................................................................................6 1.3 研究内容.......................................................................................................................6 1.4 研究方法.......................................................................................................................7 1.5 本章小结........................................................................................................................7 第 2 章 相关概念及基础理论....................................................................................................8 2.1 证券公司客户经理的内涵............................................................................................8 2.1.1 证券公司客户经理的定义.................................................................................8 2.1.2 证券公司客户经理的岗位职责.........................................................................8 2.2 绩效................................................................................................................................8 2.2.1 绩效的含义.........................................................................................................8 2.2.2 绩效的特点.........................................................................................................9 2.3 绩效管理......................................................................................................................10 2.3.1 绩效管理的含义...............................................................................................10 2.3.2 绩效管理的内容...............................................................................................10 2.4 本章小结......................................................................................................................12 第 3 章 Z 证券黑龙江分公司客户经理绩效管理现状及问题..............................................13 3.1 Z 证券股份有限公司概况..........................................................................................13 3.2 Z 证券公司客户经理绩效管理现状..........................................................................14 3.2.1 Z 证券黑龙江分公司客户经理现状...............................................................14东北石油大学 MBA 学位论文 V 3.2.2 Z 证券黑龙江分公司客户经理绩效管理现状...............................................17 3.3 Z 证券黑龙江分公司客户经理绩效管理问卷调查分析..........................................19 3.3.1 问卷设计...........................................................................................................19 3.3.2 绩效管理调查与结果分析...............................................................................20 3.4 Z 证券黑龙江分公司客户经理绩效管理存在的问题..............................................25 3.4.1 绩效计划不完善且客户经理参与机会不多...................................................25 3.4.2 管理者缺少沟通与控制...................................................................................26 3.4.3 考核指标与权重有待改善................................