目標管理與績效評估之研究–以證券業承銷部門為例

Study on Management by Objective and Performance Evaluation ─ on the example of Security Underwriting Department

劉璧維(Pi-Wei Liu)

指導教授 ： 李弘暉

元智大學/管理學院/管理研究所/碩士(2005年)

摘要

證證券承銷商收入主要來源為包銷手續費及包銷股票資本利得，因此專業能力及團隊合作為承銷部最關鍵的營運契機。不論從上市(櫃)籌資案及合併(分割)專案都須有相當的專業能力，且要結合自營投資、投顧研究及經紀業務下單跨部門資源有效的運用，故承銷商儼然成為小型之投資銀行，在未來國內、外金融商品持續推出及兩岸三地業務頻繁下，將扮演著各企業籌資及財務規劃之主要橋樑，因此承銷業務績效管理就十分重要。
本次研究目的係探討目標管理與績效評估的關連性，並以問卷施測方式進行資料收集。問卷調查的對象設定為台北市8家具代表性之證券公司承銷部門各職級承銷業務人員，研究樣本共收集137份有效資料，資料分析方法主要以敘述性統計、相關分析及迴歸分析進行假設驗證。
研究結果顯示，健全之承銷部制度為承銷人員評量績效考核最重視之基本項目，而承銷管理人員最重視目標管理衡量項目為溝通，顯示承銷業務主管們相當重視工作效率及員工專業提昇與成長；而承銷業務人員及承銷輔導人員較重視業績達成率；而管理人員、承銷輔導人員及行政人員偏重在自我能力提昇。
未來在證券業者大者恆大及納入金控體系券商，對於目標管理與績效評估須制定完善及完整的配套措施。對於不同屬性證券承銷商應針對各職級人員的工作態度及需求，制定不同的目標管理制度，以達到提升工作績效的目的。

關鍵字

目標管理 ； 績效評估 ； 證券承銷商 ； 制度

並列摘要

An underwriter's main sources of income are from underwriting fee and capital gain of underwriting stocks, therefore the professional skills and team-work are crucial to the success. No matter it is Initial Public Offering(Secondary Public Offering) or merging/split project, it requires not only professional skills but also the combined resource of Trading and Principal Divestment, Investment Consultant Research and orders placed by the brokers. That makes the underwriter a small investing bank which will play a role in the future as a main bridge between all the enterprises' capital raising and financial planning when the domestic and international financial products are continuously promoted among the thriving market within Mainland China, Honk Kong and Taiwan. Under this circumstance, the management of the underwriters' performance plays a very important role.
The purpose of this research is to discuss about the relationship between Management by Objective and performance evaluation by collecting information through questionnaires. The objects of these questionnaires are the underwriting representatives from all ranks, in eight prominent securities companies located in Taipei City. There are 137 available cases collected as research examples. The main data analysis methods are descriptive statistics, Correlation Analysis and regression analysis.
The result of this research shows that the most concerned primary item of undewriters' performance evaluation is the well-functioned system and the most concerned item(by the supervisors) of Management by Objective is communication. The result reveals that the supervisors of underwriters take the work sufficiency and employees' professional growth seriously, and the underwriters themselves, also their consultants care more about the achieving rate, as for other supervisors and admin staffs, they focus more on the self ability growth.
In the future, the dominant securities company will remain powerful, the Management by Objective and performance evaluation will need some well-organized and well-functioned systems to go with. To improve the performance, different Management by Objective systems should be implemented according to different fields, ranks, attitudes and demands.

並列關鍵字

Management by Objective ； performance evaluation ； underwriter ； system

參考文獻

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