證券業分公司經理人管理職能模型建構之研究：以Y公司為例

Abstract

從臺灣證券市場規模分析，證券商家數過多，所提供的商品或服務相近似，證券業從業人員轉職較無技術障礙，因此Y公司分公司經理人常遭受同業挖角。Y公司分公司經理人的平均年齡偏高，五年內半數以上主管面臨屆退，致使Y公司的分公司經理人產生管理人才的缺口，因此欲建構Y公司分公司經理人管理職能模型，以作為選才或育才的標準。本研究的目的有二：(1)確認Y公司分公司經理人的工作內容及應具備之管理能力。(2)以Y公司為例，建構證券業分公司經理人管理職能模型。採用的研究方法包括：(1)個案研究，以單一Y公司為研究範圍；(2)文件分析，瞭解Y公司組織文化及未來發展的策略方向；(3)職能訪談，建構Y公司分公司經理人管理職能模型初稿；(4)證券業專家問卷，用以驗證管理職能項目及其內涵之內容效度；最終，確立Y公司分公司經理人管理職能模型。 本研究歸納分公司經理人管理職能，應具備八項管理職能目及48項關鍵行為指標。依據研究結果將提供給Y公司參考，作為遴選儲備分公司經理人的評量工具及培育訓練和晉升發展的依據標準。The securities market is a key channel for listed companies to attract new capitals. It is also one popular wealth management and investment channel for the general public. However, the analysis of Taiwan's capital market size indicates that there are too many merchants providing similar products and services resulting in excessive competition. With no barrier for transferrable skills, there is frequent poaching for branch managers in the industry. The average age of the branch managers is high with more than half the population retiring within the next 5 years. The purpose of this study was twofold: (1) to confirm the core responsibilities and management competencies of the branch managers in the case study; (2) to take the case study as a reference to develop a management competency model for the branch manager in securities industry. The research methods used for this study included: (1) one case study, one company as the scope of research; (2) document analysis to obtain understanding of the company's organizational culture, its future development, and strategic direction; (3) core competency interviews to establish the first draft of the management competency model of branch managers in the case study; (4) expert questionnaire to confirm the core responsibilities of the management roles. Finally, development of management competency model for branch managers in the industry. This study summarized the core management competency of branch managers, which included 8 management competencies, and 48 key behavior indicators. The research results will be provided to the case branch as an evaluation reference for selecting managers of the training branch, and the foundation training and development.