The Competency Research of Securities Firm Brokers Following Technological Innovations in the Financial Services Industry- C Company

• Main Authors: Huang, Mei-Ling, 黃美玲
• Other Authors: Chen, Chien-Cheng
• Format: Others
• Language: zh-TW
• Published: 2017
• Online Access: http://ndltd.ncl.edu.tw/handle/8v9ztf

碩士 === 國立臺北科技大學 === 管理學院經營管理EMBA專班 === 105 === The securities firms play a vital role in the equity markets, while the business is set up as a bridge between the common investors and the financial institutions. Taiwan’s Financial Supervision Committee (FSC) noted that the local financial sector faces tough challenge globally and aims to create an engineering discipline that focuses on employing technological innovations in financial practices so-called the FinTech or “financial industry 3.0”. The FinTech (Financial Technology) is definitely one of the hottest new trends in the digital age. The customer services become so vital and essential to consider especially in the financial business sector. Instead of doing social media promotion or big data analytics, the key issue for the FinTech should focus on improving the customer satisfaction, enhancing the employee skills, and also simply or streamline the paperwork process. This study is to explore the employee skills of the targeted companies with upcoming Fintech era, analyzing the correlation between the behavior competency indicators and the work performance. The survey is also carried out to identify the new characteristics that should be covered by any single employee. The conclusions are summarized as follows： First of all, the correlation analysis between the core competency indicators and work performance indicators are not totally positive. Here are the actual results： (A) The four core competency behavior indicators are noted as “Self-motivation", "Responsibility", "Honesty" and "Team work". In which we found out that the “Honesty” is positively correlated with the work performance indicators such as “Default Ratio”, “Professional-Level Learning” and “License”. However, it is negatively correlated with the “Work Effectiveness”. (B) The professional competency behavior indicators are known as “Client relationship and sales capability” and “Communication skills”. In which the “Client relationship and sales capability” is positively correlated with the “Work Effectiveness” and “License”. Secondly, the survey and meetings on individual companies have been made to explore new skills for the employees in the financial sector. The empirical results are as follows: (A) The strong demand for FinTech professionals in the coming decades could be foreseeable. The brokers should have six additional professional competencies such as “Market Sensibility”, “Customer Assets and Investment Planning”, “Customer Services”, “Social Media Marketing”, “Active Marketing”, and “Integrated Marketing” in an effort to suit the positions that require strong quantitative and technological skills in the financial services industry. (B) Some other competencies such as “Creativity”, “Discipline”, “Risk control” and “Flexibility” should be added in the core competency indicators to stay even more competitive.