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论文编号：	14162
作者编号：	2320213503
上传时间：	2023/12/7 14:38:11
中文题目：	A 期货风险管理公司场外衍生品交易员胜任力模型构建研究
英文题目：	Research on the Construction of a Competency Model for Over-the-Counter Derivatives Traders in an A Futures Risk Management Company
指导老师：	杨斌
中文关键字：	期货风险管理公司；衍生品交易员；胜任力；胜任力模型
英文关键字：	Futures Risk Subsidiary; Derivatives Trader; Competency; Competency Model; Competency Model Application
中文摘要：	场外衍生品交易是指在非交易所的场外市场上的金融衍生品合同的交易，包括期权、互换合同、远期合同和掉期合同等。场外衍生品交易在全球金融市场中扮演着重要的角色，为各类市场参与者提供了多样化的风险管理工具和投资机会。价格发现功能在服务实体企业和助力乡村振兴中发挥着重要作用。为企业规避风险、实现定制化需求，并提高金融市场的流动性和效率。但是相较于大宗贸易，场外市场存在难以预知的金融风险，如流动性风险，故场外衍生品在我国发展的短短十年中，暴雷事件几度发生。 伴随着《期货和衍生品法》的颁布施行，场外衍生品市场由粗放式扩张向专业化运营转型，这对期货行业风险管理能力提出了新的要求。衍生品交易员作为行业内重要的人力资源，其基本素质和专业能力的高低是构成期货企业核心竞争力的关键要素。 本研究通过对A期货风险管理公司衍生品交易部的人员架构、业务特征、岗位职责的分析，解析出该公司衍生品交易员在行业素质和专业能力上存在的问题，依据胜任力素质理论及其基本模型，在结合行业实际情况的基础上，经由问卷调查和深度访谈，构建了A期货风险管理公司场外衍生品交易员的胜任力模型，并进而对公司交易员队伍的建设提出相应的管理建议。具体内容如下： 首先，阐述了胜任力及胜任力模型的基本概念、胜任力模型构建的流程、方法与工具，并对国内外的相关研究成果进行了梳理和总结；随后，结合A公司衍生品交易员胜任力问题及成因的基础上，通过文献研究法、访谈法和问卷调查法，总结该岗位的胜任力特征；最后，综合论述A期货风险管理公司衍生品交易员胜任力模型在交易员人才招募、人才培养以及员工绩效考核中的应用，并结合A公司实际情况，提出了衍生品交易员胜任力模型在实际应用中的不足与展望。 本研究旨在通过对A期货风险管理公司场外衍生品交易员胜任力模型构建，提升其人员素质和团队建设水平，进而提升公司的市场竞争力。同时，该研究也会对行业内相关岗位的人员培养及管理提供重要的参考借鉴价值。
英文摘要：	Over-the-counter (OTC) derivatives trading refers to the trading of financial derivative contracts in non-exchange markets, including options, swap contracts, forward contracts, and swap contracts. OTC derivatives trading plays a crucial role in the global financial markets, providing various risk management tools and investment opportunities for market participants. The price discovery function it serves plays a significant role in serving real businesses and supporting rural revitalization efforts. It helps companies mitigate risks, meet customized needs, and improve the liquidity and efficiency of financial markets. However, compared to bulk trading, OTC markets involve unpredictable financial risks, such as liquidity risk, and have experienced several default incidents in China during their development over the past decade. With the implementation of the Futures and Derivatives Law, the OTC derivatives market has transitioned from extensive expansion to professional operation, imposing new requirements on the risk management capabilities of the futures industry. Derivatives traders, as important human resources within the industry, play a key role in shaping the core competitiveness of futures companies, depending on their fundamental qualities and professional abilities. This research analyzes the personnel structure, business characteristics, and job responsibilities of the derivatives trading department of Company A's risk management division. It identifies the issues related to the industry qualifications and professional competencies of the company's derivatives traders. Based on competency-based qualification theory and its fundamental model, combined with the actual situation of the industry, the study constructs a competency model for Company A's OTC derivatives traders. Through questionnaire surveys and in-depth interviews, it offers corresponding management suggestions for the development of the company's trader team. The specific content is as follows: Firstly, it explains the basic concepts of competency and competency models, the process of constructing competency models, methods, and tools, and summarizes relevant research results both domestically and internationally. Then, it summarizes the competency characteristics of the derivatives trader position based on the competency issues and causes in Company A through literature research, interview methods, and questionnaire surveys. Finally, it comprehensively discusses the application of the competency model for Company A's OTC derivatives traders in trader recruitment, talent development, and employee performance appraisal. In line with the actual situation of Company A, it highlights the shortcomings and prospects of the competency model in practical application. This research aims to enhance the qualifications of Company A's OTC derivatives traders and the level of team building through the construction of a competency model. Consequently, it will boost the company's market competitiveness. Simultaneously, this study provides valuable reference and insights for personnel training and management in related positions within the industry.
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