證券業核心職能模式初探之研究-以Y證券公司為例

林靜芳(Chin-Fang Lin)

指導教授 ： 余鑑 ； 于俊傑

國立臺灣師範大學/科技學院/工業科技教育學系在職進修碩士班/碩士(2007年)

摘要

回顧台灣五十多年來之經濟發展，金融體系扮演極為重要角色，近年來金融相關法令日益鬆綁開放，使得銀行、證券、保險之業務區隔日漸減弱，導致金融產業必須朝向跨業及大型集團化發展，因此，國內金融業正面臨大者恆大、瞬息萬變的金融環境中，如何強化企業體制、提升產品及人才競爭優勢等問題就成為關鍵致勝的重要因素。前奇異總裁，威爾許說過：「人才是策略的第一個步驟，人對了，組織就會對」，如何能達到組織內適才適所的境界，是企業在發展人力佈局策略刻不容緩之任務。為了幫助組織「找到對的人、做對的事」，降低人才錯置的人力與時間成本，本研究藉由建構企業專屬核心職能模型，使其組織內部人員都能清楚知道為達公司的績效目標，所需具備的核心職能為何？並將此模型有效運用在人力資源管理（選、用、育、留）系統，進而保持組織競爭優勢。
本研究採個案研究法，以國內某一證券公司為研究對象，透過行為事例訪談，了解個案公司的未來目標與發展策略、企業文化，以及績效表現優秀的人員所呈現的行為指標，並發放職能同意度檢測問卷，作為修正職能構面與行為項目之依據，最後提出具體的核心職能模型與核心職能模型運用的建議，希望有助提升企業的人才競爭力，進而順利達成組織的目標與策略。
經訪談、彙整資訊並加以分析後，做出下列結論：

一、因職能本身具獨特性、差異性及未來性，因此我們瞭解到個案公司的未來目標與發展策略乃朝向成為亞洲區全方位商品與金融服務平台，其發展策略為（1）業務國際化；（2）產品多樣化；（3）以客戶為導向。

二、個案公司面臨組織轉型期，因此其新舊企業文化共同點為執行力紀律及龍頭券商文化，差異點為績效導向及授權式管理。

三、本研究建構出的核心職能模型有五個職能構面15項行為指標，透過分析結果發現，平均數在4.14分、標準差皆小於0.7，代表績效表現優秀的人員之間具有高度共識。

四、透過次數分配之重要性分析，發現次數分配皆在4分以上（重要程度很高），代表其核心職能模型的五個職能構面15項行為指標之重要性，因此可以說達到績效表現優秀的人員一致性與重要性的支持。

關鍵字

職能 ； 核心職能 ； 建構核心職能模型

並列摘要

From the past 50 years, the financial system has been played an important role to the economic progress in Taiwan. The financial business has gradually opened to public in the past few years, therefore the differences between businesses in the banks, securities, and insurances have decreased. It also influences the financial industry towards merging and collectivization. Hence the domestic financial business is facing the problems of survival belongs to the largest and the rapid changes of financial environment. So how to reinforce the industry system, improve the productivity, and having competitive advantages in human resources has become the essential factors of success. Jack Welch, the former president of general electric said “The very first tactic of business is human resource; therefore if you the people are right then the organization will be right as well.” So how to allocate the right person at the right position is the most important thing when corporations are operating human resource. In order to help organization reduce the cost on time and human resource, thus have less misallocation of human resources is necessary. This investigation is base on the model of the unique core of industry, which is use for the people of organization to clearly understand the essential core responsibility that need to have, in order to achieve the goal of their company. And further more, using the model efficiently on management of human resource system can also make the organization maintain the advantage of competing.
This investigation is base on case study and according to one of the brokerage house in Taiwan. From the interview we can understand the future goal, developing strategy, and the corporate culture of the company, and the norm of conduct from the people who has well-performance in the brokerage house. I’ve given the examine questionnaire of agreement about their job to the employees. To be the base of justifying the competence aspects and behavior items. And at last I propose the fiscal suggestion about how to use the competence model and core competence model. I wish this is helpful for the human resources having competitive strength of the industry, and successfully achieve the goal and strategy of the organization.
After interviewing and rearranging and analyzing the information, the results are at below:
1. Because of the uniqueness, differentiation and future in competency, we can understand the future goals as well as the undertaken development strategies of the research case in its effort to become a leading brand product and financial services facility. The developing strategies are: (1) business internationalization, (2) product diversification, and (3) customer orientation.
2. The research case faces a translation phase of its business cycle, in which its operation regulates on the collective enterprise and leadership culture of both past and present disciplines. The difference lies in the result-orientation and authorization of management.
3. There are five competency aspects and fifteen behavior indicators in the core competency model, this study finds that the average score is 4.14 and standard deviation is smaller than 0.7 which indicates there exists high degree of common cognition between high performance workers.
4. By using the importance analysis in frequency distribution, this study finds that the scores are all above 4 which represent the importance of the five competency aspects and fifteen behavior indicators in the core competency model, thus, we can conclude that the model will be consistently and importantly supported by the high performance workers.

並列關鍵字

competency ； core-competency ； establishing core-competency model

參考文獻

臺灣證券交易所。2007年9月18日，取自

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