【作者】 李小波；

【导师】 卿涛；

【作者基本信息】 西南财经大学 ， 人力资源管理， 2014， 博士

【摘要】 随着金融体制改革成为十八界三中全会以后改革的热点,金融服务业的改革必须围绕使市场在资源配置中起决定性作用的思路,走集约化发展的模式。集约化发展不可避免会造成多方利益的摩擦和冲突,其中动荡最大的是企业中层。作为企业发展的中坚力量,中层管理者掌握着生产、顾客和员工的一手资料,拥有广泛的社会网络,但却面临着责任重大而权力较小的工作困境,在具体工作中,还要满足上级、下级、同级等各方利益的需要。然而,集约化发展过程中,中层管理者的晋升空间会被压制,例如组织结构的扁平化更会导致中层管理者被精简分流或被基层管理者所取代。尤其是传统职业生涯向无边界职业生涯变化过程中,组织不再承诺提供稳定和安全的就业,雇主和雇员的心理契约正在发生变化,在这种形式下,中层管理者对职业成功的关注就显得尤为重要。传统的职业成功代表薪酬的增长和职位的晋升,但在无边界职业生涯时代,对于中层管理者而言,一在整个职业生涯更换数个雇主将成为常态。当雇主不能承诺包办员工的整个职业生涯时,必须教会并鼓励员工进行无边界职业生涯的自我管理,这就导致中层管理者从对职业安全性的重视到对职涯资本积累的重视转变。目前有关中层管理者职业成功的研究大多基于西方的文化背景,研究结论不一定适用于中国文化背景下的具体实践,尤其是在当前中国复杂的制度环境和文化背景下,中层管理者存在角色多样化和工作范围非常难以界定等特点,更凸显了进一步深化研究的重要性。因此,本研究以金融服务业中层管理者为研究对象,探讨金融服务业的中层管理者应该如何更好的获得职业上的成功。本文的主要目标是对职涯资本(Career capital)和职业成功之间的关系进行理论和实证研究,并在此基础上探讨心理授权(Employee empowerment)的中介效应,以及高层管理团队决策程序公平(Procedural justice)和高层管理者价值观导向的调节作用,最后根据实证结论对人力资源管理实践提出意见和建议。本文将上述研究问题进一步细化为：第一,研究职涯资本与职业成功之间的关系,这一关系研究以无边界职业生涯理论为基础。在经济全球化、知识化、信息化、网络化的新经济时代,职业生涯的无边界特征越来越明显,员工在职业生涯过程中产生职业转换、行业转换、组织转换等“跨界”行为越来越容易,员工积累职涯资本,追求职业成功成为当今职业生涯管理的核心内容；在此基础上,本研究根据Jokinen et al(2008)提出的职涯资本这一构念为基础,探讨职涯资本的积累是否对今后的职业成功有显著影响,并深层次探讨了职涯资本的三个维度,知道如何做(Know how)、知道为什么(Knowwhy)、知道是谁(Know whom)对职业成功的影响效应。第二,本研究以动机理论为基础引入心理授权的中介效应,作为内在动机的一种形式,对心理授权的研究扩展和弥补了内在动机理论。心理授权强调对权利和工作的感知不是由客观的任务活动特征决定的,而是这些任务活动或程序所赋予的人心理的感受,本研究认为工作的积累能给个人带来意义感和影响力,通过这种意义感和影响力能增加个人的职业成功。第三,以高阶管理理论为基础,高阶管理理论认为,企业高管会影响企业的战略和绩效,所以本研究探讨了高层管理团队决策程序公平以及高层管理者价值观导向这两个组织层面的变量的调节效应。在研究方法方面,采用文献分析、深度访谈和问卷调查的方法。其中文献分析主要是通过以往对相关构念的梳理找出研究的不足,为本文研究提供契机；深度访谈主要采取半结构化访谈和焦点小组访谈的形式,共访谈金融服务业高层管理者和中层管理者55人,其中针对高层管理者的访谈主要是了解金融行业的发展背景,包括金融业的整体特征,金融服务业的发展过程以及经历的阶段,发展趋势,目前存在的问题等金融业发展背景方面的内容。对中层管理者的访谈主要是以中层管理者的工作经历的积累为基础,解释这些积累对今后工作所产生的影响,同时还深入访谈了中层管理者对职业成功的看法,以及提出了提升职涯资本的对策建议,最终经过深度访谈挖掘了职涯资本、职业成功、心理授权、高层管理团队决策程序公平、高层管理者价值观导向等几个构念；问卷调查法主要是以金融服务业中层管理者为对象,共收集小样本和大样本的金融服务业员工有效问卷579份,并采用SPSS16.0对小样本数据进行了项目分析、探索性因子分析以及描述性统计分析,利用AMOS17.0对大样本数据进行了验证性因子分析,利用HLM5.0对大样本数据进行了跨层次线性模型分析,对本文提出的一系列假设进行验证。通过假设检验得出以下研究结论：(1)金融服务业中层管理者职涯资本对职业成功有显著影响。其中,职涯资本对主观职业成功有显著正向影响；“知道如何做”、“知道为什么”、“知道是谁”对主观职业成功都有有显著正向影响；中层管理者职涯资本对客观职业成功具有显著正向影响；“知道如何做”、“知道是谁”对客观职业成功有显著正向影响；“知道为什么”对客观职业成功影响不显著。(2)金融服务业中层管理者职涯资本对心理授权有显著正向影响,其中“知道如何做”、“知道为什么”、“知道是谁”对心理授权都有显著的正向影响。(3)心理授权对主观职业成功有显著影响；心理授权对客观职业成功有显著影响。(4)金融服务业中层管理者心理授权中介职涯资本与职业成功的关系。其中,心理授权中介职涯资本与主观职业成功的关系,中介效应占总效应的19.02%；心理授权中介“知道如何做”、“知道为什么”、“知道是谁”与主观职业成功的关系,中介效应所占比例分别为13.82%,40.70%,17.94%；心理授权中介职涯资本与客观职业成功的关系,中介效应占22.82%,其中,心理授权中介“知道如何做”、“知道是谁”与客观职业成功的关系,中介效应比例分别为14.30%和23.79%,心理授权在“知道为什么”与客观职业成功之间未起到中介效应。(5)高层管理团队决策程序公平跨层调节职涯资本与心理授权的关系,高层管理团队程序公平对“知道如何做”、“知道为什么”“知道是谁”也起到跨层调节作用。(6)高层管理者价值观导向跨层调节心理授权与主观职业成功的关系。高层管理者价值观导向的各维度对变化的开放态度、自我超越型价值观、保守型价值观、自我提高型价值观对职涯资本与主观职业成功的关系也起到调节作用；但除了对变化的开放态度对心理授权与客观职业成功起到正向调节作用以外,高层管理者价值观导向及其余三种价值观对心理授权与客观职业成功的调节作用并不显著。本研究的主要创新点是：1.以金融服务业中层管理者为研究对象,拓展了对“职涯资本”的研究范围,并检验了职涯资本的结构维度在我国的适用性。国外对职涯资本的关注更多是在外派员工吸收国际职涯经验的基础上,例如Jokinen et al.(2008)对其他类型员工研究的较少,而国内目前还未引入对“职涯资本”的研究。本文立足于十八界三中全会以来对金融业改革的热点,在国外文献的基础上,根据金融服务业中层管理者深层次访谈的资料,揭示了中层管理者的职业发展特点以及对职涯资本的几个维度进行本土化验证,为后续开展职涯资本相关的实证研究奠定基础。2.以动机理论为基础构建心理授权在职涯资本与职业成功之间的中介效应,深入阐释了无边界职业生涯背景下中层管理者职业发展的影响路径以往研究为我们提供了扎实的有关职涯成功的研究基础,这些实证研究大多数都是从组织支持感和职业承诺等角度研究的。而本文以金融服务业为研究背景,通过深度访谈,针对金融服务业中层管理者的职业特点构建职涯资本到职业成功的新构思模式,即构建了以动机理论为基础的中介效应,深层次揭示了金融服务业中层管理者职涯资本与职业成功的内部作用机制,并采用实证方法来加以验证。3.以高阶管理理论为基础,从组织层面挖掘金融服务业中层管理者职涯资本对职业成功影响的调节效应,为职业发展理论提供的新视角。一直以来,组织都是以一种多层次系统的方式存在的,但是现实研究中很少有研究者将组织分割开来进行研究,所以往往造成某一个层次得出的结论要么无法推广到其它层次,要么混淆不同层次概念使得研究的结果不够严谨。Rousseau(2002)曾指出,管理学研究中很多理论模型都存在层次不清晰的问题,往往将个体层次和更高层次(比如团队和组织层次变量)交织在一起。目前对员工职业生涯管理的研究也存在同样的问题,大多数对员工职业生涯管理的问题都没有对管理层次进行明确划分,这就导致了目前对员工职业生涯管理问题的研究处于一种混淆的境地。所以本研究为了厘清组织层面和个体层面的不同变异,需要在研究上采取与传统管理模式不同的新做法。本研究通过深层次访谈和焦点小组访谈,提供了影响无边界时代员工职涯资本对职业成功的新理解,并在此基础上引入高阶管理理论,深层次挖掘了高层管理团队决策程序公平和高层管理者价值观导向这两个调节变量,有利于激发对中层管理者职业成功的新思考。4.提出了组织与个体层面互动的职业成功分析框架,揭示了职涯资本对职业成功影响的理论适用性和作用机制。现有研究关于个体层面职业成功的研究相对较少,尤其是整合考察主观职业成功和客观职业成功相结合的研究更是偶见文献。本文提出了组织和个体层面互动的分析框架,为职业成功研究方面开辟了新的研究视角,能够更加深入地揭示组织行为产出的复杂机制,并有效刻画各要素之间的互动关联方。同时,从主观和客观两个方面衡量职业成功,可以有效避免同源偏差,更加全面、客观地反映中层管理者职业成功的影响因素。在一定程度上避免了“黑箱”研究的困境,丰富了无边界职业生涯发展领域的研究体系,为未来进一步探索职涯资本在什么情况下、以何种方式作用于职业成功提供了理论基础。本研究引入“职涯资本”这一变量,不仅丰富了职涯生涯理论,也有非常有效的现实意义,对于组织而言,能为金融服务业的人力资源管理部门提供具有可操作性的理论指导,为进一步厘清无边界职业生涯下金融服务业中层管理者的职涯资本的具体内涵和结构维度奠定基础,为制定行之有效的人力资源规划、招聘、培训、绩效考核和薪酬方案提供指导；对于金融服务业中层管理者而言,能够让他们转变观念,在无边界职业生涯时代认清实现职业成功的关键因素,树立科学的职业发展观,为突破职业发展瓶颈提供指导。更多还原

【Abstract】 As the financial system reform is becoming a hot topic after The Third Plenary Session of the18th CPC Central Committee, the reform of the financial industry must be centered on the idea that the market plays a decisive role in the allocation of resources and that we should switch to the intensive development pattern. The pattern can inevitably cause frictions and conflicts between many interest groups, among which the middle-level staff will be the group most affected. The middle-level managers, as the mainstay of the organizations, master the first-hand information of production, customers and employees and possess an extensive social network. However they are in the plight of great responsibility with small power, therefore in the concrete work, they must balance the needs of all the interest groups like the leaders, subordinates, and peers. However, the middle-level managers’ promotion space will be suppressed in the intensive development process. For example, flattening the organizational structure will lead to the redundancy or the replacement by lower-level managers, especially in the process of shifting from traditional career to the borderless career, the organization is no longer committed to providing a stable and secure employment and the psychological contract of the employer and the employee is changing. Under this circumstance, it is pretty important for middle-level managers to care about their career success. The traditional career success means promotion and pay raise, but in the era of borderless career, for a middle-level manager, to replace a number of employers will become the norm throughout his career. When the employer can’t promise a life-long career for the employee, he must train and encourage his employees to make a borderless career self-management, which will result in their attention shifting from workplace safety to the accumulation of career capital.Current research on middle-level managers’ career success mostly are based on western cultural background, so the conclusions do not necessarily apply to specific practices under Chinese context, especially in the complex institutional and cultural background, where the role of middle-level managers exist diverse and the scope of work is difficult to define, which makes the intensive study about it obviously important. Therefore, this study focuses on the middle-level managers in the financial service industry, intending to explore how they can get access to greater professional success. The main objective of this dissertation is to do theoretical and empirical research on the relationship between career capital and career success. On this basis we would like to explore the mediating effect of the psychological empowerment and the moderating effect of Procedural Justice in decision-making and manager’s value orientation. Based on empirical results, the final comments and suggestions on the human resource management practices are given.This dissertation will be divided into one or more parts in details. Firstly, the research studies the relationship between career capital and career success based on the theory of the borderless career. In the new economic era of globalization, information and networking, the feature of borderless career is becoming increasingly obvious. The "cross-border" behaviors become much more frequent, like moving between careers, industries, organizations and other behavior more easily. The accumulation of Career Capital and the pursuit of career success has become the core context of today’s career management. Based on Career Capital put up by Jokinen, et al.(2008), this research explores whether career capital accumulation has a significant impact on the career success and discusses the effect of three dimensions of career capital in depth:Know how, know why and Know whom on career success. Secondly, the psychological empowerment, a form of intrinsic motivation, is introduced as mediating effect based on the theory of psychological motivation. The psychological empowerment enriches and makes up for the intrinsic motivation theory. It emphasizes that the perception of rights and job is not decided by objective characteristics of the task but by the psychological experience of these tasks. This study acknowledges that work accumulation can bring a sense of self-worth that can increase the odd of career success.Thirdly, senior management theory suggests that corporate executives will affect the company’s strategy and performance, so this study also investigates the moderating effect of the fair management team decision-making procedures as well as the values of senior managers. In terms of research methodology, literature analysis method, the in-depth interviews and questionnaires are adopted. The literature analysis method mainly identifies deficiencies through a review of related topics; the in-depth interviews are mainly used for interviewing55senior and middle-level managers in financial services sector, based on semi-structured interviews and focus groups. In terms of senior managers, the main context of the interviews is about the background of the financial sector, including the overall characteristics of the financial sector, the development history and trends of the financial services industry and stage of the current problems. In terms of middle-level managers, the main context of the interviews is about the interpretation of accumulation’s effect on future success and their perception and advices of career success. And eventually through in-depth interviews, the conception of career capital, career success, psychological empowerment, fair team decision-making procedures, and top manager’s value orientation are explored. The questionnaire mainly targeted at middle-level managers in financial services sector and579valid questionnaires were collected. Meanwhile project data analysis, exploratory factor analysis and descriptive statistical analysis were done by SPSS16.0. The AMOS17.0was used to conduct confirmatory factor analysis. The HLM5.0was used to do hierarchical linear model analysis for large sample data. Finally the paper gives out a series of hypotheses.Then the following conclusions were drawn after hypothesis testing:(1) career capital for middle-level managers in financial services industry has a significant effect on career success, among which the career capital has a significant positive effect on subjective career success;"know how","know why", and "know whom" have a significant positive effect on subjective career success; career capital for middle-level managers has a significant positive effect on objective career success;"know how" and "know whom" have a significant positive impact on the success of the objective occupation; the impact of "know why" on objective career success was not significant.(2) Career capital including "know how","know why","know whom" has a significant positive effect on psychological empowerment for middle-level managers (3) Psychological empowerment has a significant impact on the subjective career success and objective career success.(4) psychological empowerment mediates the relationshio between career capital and career success. In the relationship between career Capital and subjective career success, the mediating effect explains19.02%of the total effect, with the respective mediating effect on "know how","know why","know whom" listed as13.82%,40.70%,17.94%; while in the relationship between career capital and objective career success, the mediating effect explains22.82%of the total effect, with the respective mediating effect on "know how","know whom" listed as14.30%和23.79%and "know why" as0%;(5) Top management team decision-making procedural justice moderates the relationship between career capital and psychological empowerment across the layer; Top management team decision-making procedural justice also plays a role in moderating" know how","know why","know whom";(6) Top manager’s value orientation moderates the relationship between psychological empowerment and subjective career success; all the three dimensions of senior managers’values moderate the relationship between psychological empowerment and subjective career success. Openness to change has a positive effect on the relationship of psychological empowerment and objective career success, but top managers’value orientation and the other three values had no obvious moderating effect.The main innovation points of this study are as follows:1.By focusing on middle-level managers in the financial services industry, the study expands the scope of "career capital" and examines the applicability of the structural dimensions of career capital in China.In terms of career capital, the study overseas pays more attention to expatriates absorbing international career experience, such as Jokinen, et al. Less (2008), but that has not yet been introduced to China’s career research. Based on a hotpot of the financial sector reform since the Third Plenary Session of the18th CPC Central Committee and through literature review and in-depth interviews with middle-level managers in the financial services industry, this dissertation reveals the characteristics of middle-level managers’career development as well as localized testing on the dimensions of career capital, which lays the foundation for the future empirical research on career capital.2. On the basis of the motivation theory, the study constructs the mediating effect of psychological empowerment between career capital and career success, further interpreting the influence path of middle-level managers’ career development in the background of the borderless career.Previous studies have provided us with a solid basis for further study on career success, but most of these empirical studies are from the angle of organizational support and professional commitments. This research, however, through in-depth interviews, specifically studies career characteristics of middle-level managers in the financial services industry and builds a new model from career capital to career success, that is, building a mediating effect of motivation theory-based and reveal the internal mechanism of career capital and use empirical methods to test it.3. Based on advanced management theory, this study explores the moderating effect on the relationship between career capital and career success of middle-level managers in financial services industry, providing a new perspective for career development theory. For a long time, organizations exist by way of a multi-level system, but in reality few researchers divided the organization in their research, which hinders the conclusion from being generalized from one level to another or confuses the concept of different levels and thus makes the results sometimes refutable. Rousseau (2002) has pointed out that in management studies, many theoretical models have vague hierarchy problems, and the individual level and higher levels (like team level and organization level) are often intertwined. The same problems also exist in current researches on employee career management; most of the issues have no definite division, which led to a confusing situation of the current research on employee career management. Therefore, this study, in order to clarify the different levels of the organization and individual, has to take different approaches from the traditional management model. Through in-depth interviews and focus group interviews, this study provides a new understanding of the effect of career capital on career success in borderless career era, and on this basis the advanced management theory is introduced by deeper digging the moderating effect of the two variables--top management team decision-making procedural justice and top managers’ value orientation, which is helpful for middle-level managers’ new thinking on career success.4. This study presents analysis framework of career success based on the interaction between organization and the individual and reveals the mechanism and theory applicability of career capital’s impact on career success There exist few studies on career success from the individual level, especially in the integration of objective career success and subjective career success. This dissertation presents an interactive framework analysis combining the organizational and individual level, opening up a new perspective for career success study. It more deeply reveals the complicated mechanism of the organizational behaviors and more effectively depicts the interaction between all the related elements. Meanwhile, a measure of career success from both subjective and objective can effectively avoid homology bias, reflecting the factors of career success more comprehensively. To some extent, it avoids the dilemma of "black box" in research, enriches the research system of borderless career development field, and provides a theoretical basis for career capital under what circumstances affecting career success.By the introduction of "career capital", this study not only enriches the career theory, but has an effective practical significance. For organizations, this study provides them with operable theoretical guidance for human resource management departments in financial services industry; lays the foundation for further clarify the specific content and structure dimensions of career capital in borderless career ground; and provides guidance for effective human resource planning, recruitment, training, performance appraisal and compensation programs; For middle-level managers in the financial services industry, this study helps them to understand the key to career success in borderless career era, change their ideas, and establish a scientific concept of career development, breaking the bottleneck for career development.更多还原