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论文编号：	9248
作者编号：	2220140382
上传时间：	2017/6/14 15:45:06
中文题目：	平衡计分卡在ZY证券天津营业部绩效评价中的应用研究
英文题目：	A Study of the Application of Balanced Score Card in Performance Assessment of Tianjin Office of ZY Securities
指导老师：	陆宇建
中文关键字：	证券营业部；平衡计分卡；绩效评价
英文关键字：	securities business department; The balanced scorecard; The performance evaluation
中文摘要：	证券行业在我国是一个新兴的行业，它是以服务营销为本质的行业。随着全球化、信息化的发展，作为资本和智力密集型的证券公司，具有高风险高收益等特征。尤其在我国加入WTO后，国际上资信良好、管理优良的大券商进入国门将为国内券商带来生死存亡的压力，这一行业的竞争也异常激烈。经纪业务的基本单元营业部是证券公司利润的主要来源。我国的证券公司要想立足并长远发展，必须重视经纪业务的发展，及时根据外部环境和自身状况，动态调整公司战略目标，并建立与战略目标相一致的绩效评价体系，以便及时、准确地评估战略目标的执行情况。　　　本文对ZY证券公司天津营业部原有的绩效考核体系进行了梳理与分析，尝试从绩效评价常用方法中进行比较分析，运用平衡计分卡基本理论和方法对天津营业部绩效考核体系进行了优化设计方案的研究。首先，对ZY证券天津营业部的绩效考核体系中存在的绩效管理理念落后，绩效考核指标设计不尽合理，缺乏绩效沟通和反馈机制等问题进行了分析。其次，针对营业部绩效考核体系存在的问题，引入平衡计分卡对原绩效考核体系进行优化设计。从平衡计分卡的财务、客户、内部流程、学习成长及风险与创新的五个维度，分别对营业部、部门及个人三个层次进行深入分析，设计考核指标并确定指标权重，构建出营业部新的绩效考核评价体系。最后对绩效反馈及考核结果的应用进行了阐述，以保障新的绩效考核体系能在营业部顺利运行。　　　本文运用理论与实践相结合的方法，将平衡计分卡理论应用到天津营业部具体的绩效评价实践中。通过目标层层分解，把营业部总体战略目标同员工的具体工作内容结合起来，显著地提高了员工参与的积极性，为营业部实现经营战略目标提供可能。
英文摘要：	The Securities Industry is a new industry in China with the essence of service marketing. As the advancement of globalization and informationization, the capital-and-knowledge-intensive securities company has the characteristics of high risk and high revenue. Especially after the entrance into WTO of China, large-scale brokers with good credit standing and management in the international stage have entered China and brought fierce pressure to the domestic security companies. And the competition in this industry is very violent. Business department as the primary unit of brokerage is the main profit source of the securities company. If the securities companies in China want to keep a foothold and achieve long-term development, they must focus on the development of brokerage, adjust the strategic objectives in a dynamic way in accordance with exterior conditions and their own situations, and establish the performance assessment system meeting the strategic objectives so as to assess the implementation of strategic objectives in time and in an accurate way. 　　　This dissertation teases out and analyzes the original performance assessment system of Tianjin Business Department at ZY Securities Company, tries to make comparative analysis using common methods of performance assessment and researches the optimal design plan of the system in the Department adopting the basic theory and method of Balanced Scorecard. Firstly, it analyzes the lagged-behind performance management ideas, unreasonable design of performance assessment index, lack of performance communication and feedback mechanisms existing in the performance assessment system of ZY Securities Company Tianjin Business Department. Secondly, aiming at problems existing in the performance assessment system of the Business Department, the Balanced Scorecard is introduced to optimize the design of original performance assessment system. From five dimensions of finance, clients, internal procedures, learning growth and risk and innovation, it deeply analyzes the Business Department, the department and the individuals, designs assessment index, determines index weight and constructs new performance assessment system of the Business Department. Finally, it expounds the performance feedback and the application of assessment results so as to guarantee the smooth development of new performance assessment system in the Business Department. 　　　This dissertation combines practice with theory by applying the Balanced Scorecard theory into specific performance assessment of Tianjin Business Department. Through the target decomposition layer upon layer, it combines the overall strategic objectives of the Department with the specific work of staff, obviously enhances the participating activity of staff and provides the possibility of achieving strategic objectives of the Department.
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