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PerformanceDevelopment_ResourceGuideFinal.doc

  1. 1. Securities Industry Association PERFORMANCE DEVELOPMENT RESOURCE GUIDE We are pleased to introduce this new Performance Development Resource Guide as another addition to the Human Resources Toolkit. This Guide was created by SIA’s Human Resources Management Committee specifically for member firm human resources professionals. Building on the same core competencies as seen in the Handbook for Strategic Hiring and the Performance Management Guide, this new resource can offer managers options to assist employees in improving their overall performance. Often, when developmental needs are identified, either by an employee or a manager, it’s difficult to find the appropriate resources. This Guide can help! It lists dozens of ideas and places to get information to enhance an employee’s performance. Each competency area has a variety of suggested resources that are separated into five categories: • Experiential: Ideas to help an employee learn or improve through performing an activity or accomplishing a task • Reading: Books, periodicals, magazines, etc. where employees can glean information on specific competencies and subjects • Video / CD: Ideas to help train or educate using multi-media • Classroom: A wealth of training ideas for employees looking to utilize classroom learning • Online: Web-based resources available to employers and employees that can help develop skills and competencies In preparing this Guide, SIA relied on information furnished by its member firms and has not independently investigated the resources listed herein. Nevertheless, a considerable effort has been made to provide accurate information. Copyright©January 2004 by Securities Industry Association
  2. 2. TABLE OF CONTENTS Developing Business Competencies • Industry Knowledge...................................................................................................................................................Page 1 • Organizational Knowledge........................................................................................................................................Page 2 Developing Client Service Orientation Competencies............................................................................................................Page 3 Developing Communications Competencies • Oral Communication and Presentation Skills............................................................................................................Page 4 • Written Communication............................................................................................................................................Page 5 • Active Listening.........................................................................................................................................................Page 6 • Meeting Participation and Facilitation.......................................................................................................................Page 6 Developing Leadership Competencies.....................................................................................................................................Pages 7-10 Developing Personal Resilience Competencies........................................................................................................................Page 11 Developing Productivity Competencies...................................................................................................................................Page 12 Developing Critical Thinking Competencies...........................................................................................................................Page 13 Developing Problem Solving Competencies............................................................................................................................Page 14 Developing Teamwork Competencies......................................................................................................................................Page 15
  3. 3. DEVELOPING BUSINESS KNOWLEDGE COMPETENCIES INDUSTRY Experiential Reading Video/CD Classroom Online Learn from employees SIA’s “Your Guide to Securities Training Corporation (STC) - Video Local Colleges and Universities Provides Investment Banking news and within the firm Understanding Investing” Learning information www.stcusa.com/ Wharton University of Pennsylvania www.investment-banking-resources.com Identify knowledgeable New York Institute groups “Introduction to Brokerage E-learning courses specific to Investment Banking Company in-house training programs Various courses including Accounting Operations & Procedures” Operations through Trading Identify persons for www.ftknowledge.com/elearning/index.html Jeremiah Associates - custom designed www.nyif.com guidance Wall Street Journal on and off-the-shelf programs Johnson Lipman Corporation - Computer and www.jeremiahassociates.com Securities Industry Association Prepare interview Economist video based training for securities industry. www.sia.com guidelines www.johnsonlipman.com The Globecon Group Forbes www.globecon.com National Association of Securities Dealers www.nasd.com Fortune Kellogg School of Management, Northwestern University The Depository Trust Company Vault Career Guide to www.kellogg.nwu.edu www.dtc.org Investment Banking by Chris Prior, Tom Lott, Columbia University Provider of financial training to the banking, Staff at Vault www-1.gsb.columbia.edu/execed/ financial services, and legal sectors www.ftknowledge.com All About Stocks: The Yale School of Management Easy Way to Get Started www.som.yale.edu/careers www.wetfeet.com/asp/careerlist.asp by Esme Faerber www.wetfeet.com/asp/career.asp Learning Insights www.learninginsights.com 1
  4. 4. DEVELOPING BUSINESS KNOWLEDGE COMPETENCIES ORGANIZATIONAL Experiential Reading Video/CD Classroom Online Job shadow in shadow in The firm’s Policies and E-learning courses specific to In-house Orientation program Company Intranet – Policies and departments/branches Procedures Manual Investment Banking Operations Procedures for Compliance, www.ftknowledge.com/elearning Compliance Department annual mandatory Travel, Accounting Practices, Tour of company Departmental procedure /index.html attendance meetings Human Resources, etc. manuals Mentor assignment program Johnson Lipman Corporation – Departmental training session E-mail notifications NASD Series 7 & 63 exam Computer and video based Visit branch offices preparation material training for securities industry Boston University – Certified Financial NASD, SEC and NYSE websites www.johnsonlipman.com Planners Online Training for education Attend business meetings with Review organization charts component of CFP Empire Stockbroker Training clients/customers Securities Training Corporation www.bu.edu/professional/programs/certificate/ Institute Review annual reports (STC) – Video Learning financial_planners/acadient/program/index.html www.empirestockbroker.com Attend staff meetings in other areas www.stcusa.com/ of the business Key contact list Empire Stockbroker Training Institute FT Knowledge www.empirestockbroker.com www.ftknowledge.com/ Company brochures FT Knowledge Learning Insights Empire Stockbroker Training www.ftknowledge.com/ www.learninginsights.com Institute www.empirestockbroker.com NASD WideLearning www.nasd-institute.com www.widelearning.com After the Trade is Made: Processing Securities RegEd Transactions by David Weiss reged.com All About Bonds and Mutual Securities Training Corporation (STC) – Funds: The Easy Way to Get Video Learning Started by Esme Faerber www.stcusa.com 2
  5. 5. DEVELOPING CLIENT SERVICE ORIENTATION COMPETENCIES Experiential Reading Video/CD Classroom Online Learn from others in your “The Service Advantage: How to The Force of Value, Padgett-Thompson, Handling www.CRMCommunity.com, organization who are known for Identify and Fulfill Customer www.crmfilms.com Difficult and Demanding Web site dedicated to customer their customer service skills. Needs” Customers: A Communication service, including whitepapers Interview them or ask to – Karl Albrecht and The Employee Guide to Course and articles shadow them for a day or two. Lawrence J. Bradford Superior Customer Service Video, Amazon.com DDI Customer Service Inc., The International Customer “Service Quality: A Profit Strategy Videos Service Plus, (800) 944-7782 Service Association (ICSA), for Financial Institutions” www.ICSA.com – Leonard L. Berry, David R. What’s in it for me? – The DDI, Creating a Service Culture: Bennett and Carter W. Brown Richardson Company The Service Leader’s Role (412) www.Consulting Academy.com Training Media 257-2277 “Stop, Ask and Listen: How to Welcome Your Customers and American Management Increase Your Sales” Association, Customer Service – Kelley Robertson Excellence: How to Win and Keep Customers “Raving Fans - A Revolutionary Approach to Customer Service” NYU School of Continuing and – Ken Blanchard and Sheldon Professional Studies, Graduate Bowles Certificate in Customer Relationship Management “Bodacious!” – Mary Foley “It’s Not What Happens To You, It’s What You Do About It: Taking Responsibility for Change” – W. Mitchell with Brad Lemley “Best Practices in Customer Service” – Ron Zemke and John A. Woods “Positively Outrageous Service” – T. Scott Gross “Service America” – Ron Zemke and K. Albrecht 3
  6. 6. DEVELOPING COMMUNICATION COMPETENCIES ORAL COMMUNICATION & PRESENTATION SKILLS Experiential Reading Video/CD Classroom Online Learn from other employees or “Say it With Confidence” Effective Communication: Toastmasters International www.cjenterprises.com/resource colleagues whose skills – Patrick Collins It’s Your Responsibility s you admire – Publisher: Business American Management “How to be Prepared to Think Advantage Association, Projecting a www.work911.com Utilize mentoring relationships on Your Feet” Positive and Professional Image – Stephen Rafe How to Develop Effective www.hodu.com Communications Skills Padgett-Thompson, Speaking “For Your Improvement, A – Robert Lucas, order on: with Confidence and Conviction Development and Coaching Guide” www.nightingale.com – Michael M. Lombardo and Myers-Briggs Communication Robert W. Eichinger training “How to Prepare, Stage and Deliver Winning Presentations” – Thomas Leech “The Art of Talking So People Will Listen” – Paul W. Swets “Persuasive Business Speaking” – Elayne Snyder “On Dialogue” – David Bohm “Secrets of Successful Speakers” – Lilly Waters 4
  7. 7. DEVELOPING COMMUNICATION COMPETENCIES WRITTEN COMMUNICATION Experiential Reading Video/CD Classroom Online “Writing on the Job – Quick Writing for business class TrainingBetter.com; Practical Solutions to All Your at a local university www.trainingbetter.com/courses.html Business Writing Problems” – Cosmo F. Ferrara American Management WritingClasses.com; Association, How to www.writingclasses.com/online/L.html#business1 “The Business Grammar Handbook” Sharpen Your Business Offers: Writing for Business – Scott Pancoast and Lance White Writing Skills “Write Better and Get Ahead at Padgett-Thompson, Work: Successful Methods for Business Writing and Writing the Easy, Natural Way” Grammar Skills – Michael Dolan “Write for Business – A Compact Guide to Writing and Communicating in the Workplace” – Verne Meyer, Pat Sebranek and John Van Rys 5
  8. 8. DEVELOPING COMMUNICATION COMPETENCIES ACTIVE LISTENING Experiential Reading Video/CD Classroom Online “Listen to Win – A Manager’s Guide to Effective Listening Skills Effective Listening” – Gill Godfrey and – Curt Bechler, Ph.D. and Richard L. Hugh Murray Weaver II, Ph.D. “The Lost Art of Listening” – Michael P. Nichols “Effective Listening Skills” – Art James, Dennis Kraty, Dennis Kratz “Listening to Learn; Learning to Listen” – Susan G. Butruille MEETING PARTICIPATION AND FACILITATION Experiential Reading Video/CD Classroom Online Interview someone in your “How to Make Meetings Work” organization who is known to – John E. Tropman hold efficient, organized meetings “Managers Guide to Effective Meetings” – Barbara Striebel 6
  9. 9. DEVELOPING LEADERSHIP COMPETENCIES Experiential Reading Video/CD Classroom Online Mentoring experience with “7 Secrets of Exceptional Leadership” Visit Programs / Products / “Leadership and Strategy” Senior Management or www.ffaunlimited.org/imleadvid. Resources @ Inc.com – Christopher J. Hegarty html to order the following Board Member Leadership Videos: Center for Creative www.inc.com/guides/leadersh “Developing the Leader Within You” Leadership ip_strat/directory.html Volunteer for Non-Profit – John C. Maxwell • Communication One Leadership Place Board leadership role Leadership P.O. Box 26300 “On-Leadership.com” “Leadership” • Interpersonal Greensboro, NC 27438 www.levinsoninst.com/ Lead a cross-functional – Rudolph W. Giuliani Communication 356-545-2810 team project • Goal Setting Leadership www.ccl.org “Articles on Leadership and “The Five Dysfunctions of a Team: A • Leadership Life Renewal” Facilitate leadership Leadership Fable” • Self-esteem Leadership Wharton Center for www.robinsharma.com/articl discussion group with high – Patrick Lencioni • Self-motivation Leadership & Change es.html potential or management Leadership Management training participants “More Than a Pink Cadillac: Mary Kay • Teamwork www.leadership.wharton.upen “Better Workplace Now” Inc.’s Nine Leadership Keys to Success” • Conflict-Resolution n.edu/welcome/index.shtml www.betterworkplacenow.com Write about industry – Jim Underwood leadership philosophy or Online Classes “Bury My Heart at International Leadership challenges for “The Gifted Boss: How to Find, Create Conference Room B” Association (ILA) communication newsletter, WorldWideLearn and Keep Great Employees” www.vppi.com/title_bmh.asp ILA is a global network intranet or customer www.worldwidelearn.com/b – Dale Dauten for those that practice, bulletin. usiness-course/leadership- “I Wish My Manager Would study and teach leadership. training.htm “Fish! A Remarkable Way to Boost Just…” (Dozens of links to Facilitate session(s) of Morale and Improve Results” www.vppi.com/title_wish.as leadership resources) Leadership Development Seminar World 4 U – Stephen C. Lundin p www.academy.umd.edu/il Program for lower level www.seminarworld4u.com/sw4 a/links.htm ucont.htm managers/leaders “Good to Great: Why Some Companies “Would I Follow Me?” Make the Leap and Others Don’t” www.trainingabc.com/leadershi Brad Worthley Academy Leadership: – Jim Collins p.htm#would_I_ International Leadership Achieve Business Success follow_me Seminars through Leadership: “Whale Done!: The Power of Positive www.bradworthley.com www.academyleadership.com Relationships” For more informative – Ken Blanchard leadership videos, visit Center for Talent Retention: www.trainingabc.com/leadership.html www.keeppeople.com “Coaching for Optimal Performance” Clear Communication 7
  10. 10. Experiential Reading Video/CD Classroom Online “Thinking for a Change: 11 Ways Highly “High Impact Leadership: How “Leadership at the Company: Successful People Approach Life and to be more than a manager” Edge” www.clearcommunication.com Work” www.syncreticsgroup.com – John C. Maxwell “Clarifying Team Roles and /leadership-seminars.html Farr Associates: Responsibilities” www.farr.net “Primal Leadership: Realizing the Power “LeaderLaunch” & of Emotional Intelligence” “Harvard ManageMentor: “ExecuStart” Toastmasters: – Daniel Goleman www.172.29.37.39/hmm1/me www.regent.edu/acad/cls/p www.toastmasters.org nu.htm rofessionaldevelopment “The 21 Irrefutable Laws of Leadership” Self Tests Current Ninth House – John C. Maxwell and Zig Ziglar “Ninth House Network” Courses www.ninthhouse.net Situational Leadership® II “Creative Leadership “22 Keys to Creating a Meaningful www.trainingsyninc. – Ken Blanchard Questionnaire” Workplace” Learn leadership skills that www.myskillsprofile.com/cr – Tom Terez help you develop your eative_leadership_questionn employees' competence, aire.htm “Coaching Through Effective Feedback: commitment, and A Practical Guide to Successful “Career Tests” productivity Communication” www.queendom.com/tests/care – Paul J. Jerome er/index.html Partnering for Results Leadership Style – DISC – Larraine Segil “First, Break All the Rules” Personality Profile. Understand and – Marcus Buckingham, Curtis Coffman www.resourcesunlimited.com successfully develop (800-278-1292) internal and external “In Search of Honor: Lessons from business partnerships Workers on How to Build Trust” Benchmarks (www.ccl.org ) – Adele B. Lynn Simulation for Partnering for Results (eSeries 5) Element B (How to behave “Influencing with Integrity: Management – Larraine Segil towards others and how you Skills for Communication and Practice the skills learned perceive others to behave Negotiation” in Partnering for Results towards you) (WSA – Genie Z. Laborde 415-383-8275) Managing Change– “Jack Welch Speaks: Wisdom From the William Bridges Myers-Briggs Type Indicator ® World’s Greatest Business Leader” Gives managers the (Consulting Psychological – Janet Lowe leadership skills needed to Press, Inc 800-624-1765) mobilize employee support “Leadership and the One Minute for change initiatives Manager” – Ken Blanchard, Patricia Zigarmi “Leadership Is An Art” – Max DePree and James O’Toole 8
  11. 11. Experiential Reading Video/CD Classroom Online “Now, Discover Your Strengths” – Marcus Buckingham and Donald O. Clifton “On Becoming A Leader” – Warren G. Bennis “Principle-Centered Leadership” – Stephen R. Covey “Thank God It’s Monday: 14 Values We Need to Humanize the Way We Work” – Kenneth Cloke “That’s Not What I Meant! How Conversational Style Makes or Breaks Your Relations With Others” – Deborah Tannen “The 12 Leadership Principles of Dean Smith” – David Chadwick “The 21 Indispensable Qualities of a Leader: Becoming the Person Others Will Want to Follow” – John C. Maxwell “The Effective Executive” – Peter F. Drucker “The Leadership Challenge” – James M. Kouzes, Barry M. Posner and Tom Peters “The Platinum Rule” – Anthony Alessandra and Michael J. O’Connor “Virtual Leadership: Secrets From the Round Table for the Multi-Site Manager” – Jaclyn Kostner 9
  12. 12. Experiential Reading Video/CD Classroom Online “Your Boss is Not Your Mother: Creating Autonomy,” Respect, and Success at Work – Brian Desroches “Monday Morning Leadership” – David Cottrell, Corner Leadership Institute, 2002 “The Leadership Challenge” – James Kouzes and Barry Posner, Jossey- Bass Publishing, 1995 “First, Break All the Rules” – Marcus Buckingham and Curt Coffman, Simon & Schuster, 1999 For more great books on Leadership visit books.reviewindex.com/reviews/? q=leadership+in+business 10
  13. 13. DEVELOPING PERSONAL RESILIENCE COMPETENCIES Experiential Reading Video/CD Classroom Online “And When You Fall” Programs/Products/ Mentor/coach high potential or “Emotional Intelligence: Why it can Resources People View, Inc. management training participant matter more than IQ” – Dan Jansen www.peopleview.net – Daniel Goleman www.trainingabc.com/motivation. Center for Creative html Leadership Lead or participate in cross- Self Tests functional team on “hot” project “Feel the Fear…And do it anyway” www.ccl.org – Susan J. Jeffers “Who Says We Can’t Do It with Lance Armstrong” DiSC Personality Profile Farr Associates www.resourcesunlimited.com “Harvard Business Review on Building www.trainingabc.com/motivation. www.farr.net Personal and Organizational Resilience htm Element B (How to behave (The Harvard Business Review Talent Smart towards others and how you Paperback Series)” For more informative Personal www.talentsmart.com Resilience videos, visit perceive others to behave www.trainingabc.com/motivation. towards you) (WSA “In Search of Honor: Lessons from 415-383-8275) Workers on How to Build Trust” htm – Adele B. Lynn Emotional Intelligence “Principle-Centered Leadership” Appraisal – Stephen R. Covey www.peopleview.net “The 7 Habits of Highly Effective Myers-Briggs Type Indicator ® People” (Consulting Psychological – Stephen R. Covey Press, Inc 800-624-1765) For more great books on Personal Personalysis Resilience, visit www.personalysis.com www.books.reviewindex.com/reviews/? q=personal+resilience Thomas-Kilmann Conflict Mode Instrument (Consulting Psychological Press, Inc 800-624-1765) 11
  14. 14. DEVELOPING PRODUCTIVITY COMPETENCIES Experiential Reading Video/CD Classroom Online American Productivity and “Work, productivity and job Seven Habits of Highly Effective Time Management www.resourcesunlimited.com Quality Center satisfaction: People – American Management www.apqc.org An Evaluation of Policy- Research” (800) 421-0833; crm learning Association www.campaign-for- – Raymond A. Katzell, Daniel learning.org.uk Business Process Outsourcing: Yankelovich, Psychological Corp., 1975 Time Management: A Cost, Productivity, and Productivity Plan Competition: Ravi Aron, Wharton “Motivation and Productivity” www.trainingabc.com Programs – Executive Education – Saul W. Gellerman, AMA, 1963 “Execution: The Discipline of Getting Things Done” – Larry Bossidy with Charles Burck and Ram Charan, June 2002 “Organized Executive: The Classic Program for Productivity: New Ways to Manage Time, Paper, People and the Digital Office” – Stephanie Winston, January 2001 12
  15. 15. DEVELOPING CRITICAL THINKING COMPETENCIES Experiential Reading Video/CD Classroom Online Critical Thinking: Real- “The Miniature Guide To Critical Thinking www.Bullfrogfilms.com Padgett – Thompson www.wannalearn.com World, Real-Time Decisions Concept & Tools” /subjects/criticalthinking www.pttrain.com – John C. Hershey, Ph.D. – Dr. Richard Paul and Dr. Linda Elder .html www.resourcesunlimited.com Wharton Programs – (A listing of 18 different Executive Education “Thought and Knowledge: An videos) Critical Thinking: A www.thelearningweb.net/ideas- Introduction to Critical Thinking” New Paradigm for critical-thinking.html – Diane F. Halpern Peak Performance www.amanet.org “Asking the Right Questions: A Guide to Critical Thinking (6th Edition)” – M. Neil Browne and Stuart M. Keeley The Brain Power Course “Becoming a Critical Thinker: A User www.amanet.org Friendly Manual (3rd Edition)” – Sherry Diestler “Why Didn’t I Think of That? Think the Unthinkable and Achieve Creative Greatness” – Charles W. McCoy, Jr. 13
  16. 16. DEVELOPING PROBLEM SOLVING COMPETENCIES Experiential Reading Video/CD Classroom Online Outward Bound USA “Complex Problem Solving: Principles and A.C.E. It! How to Business Challenge Critical Thinking Consortium www.outwardbound.com Mechanism” Solve Tough – Duke Corporate Education www.criticalthinking.org – edited by Robert J. Sternberg, Yale Workplace University, Peter A. French, University of Problems Improving Problem Solving www.questia.com Missouri, Lawrence Eribaum Assoc. – 800-300-8880 – Georgia State University Executive Education www.campaign-for- “The Problem Solving Journey, Your Guide Dealing With learning.org.uk/campaigns/learningatwork to Making Decisions and Getting Results” Conflict Creative Problem Solving – Christopher Hoenig and Linda Creighton – 800-421-0833 – University of Pittsburgh www.learningunlimited.com – Perseus Publishing 2000 Center for Executive Problem Solving in Education “Decision Making and Problem Solving” the Job World – John Adair – Beekman Publishing (2000) “Executive Marbles: Leadership Activities – Amazon.com & Problem Solving Activities” Videos – Sam Sikes Step by Step “50 Ways to Use Your Noodle” Problem Solving – Chris Cavert and Sam Sikes (1992) – Amazon.com “The Five Dysfunctions of a Team: A Videos Leadership Fable” – Patrick M. Lencioni “Creative Problem Solving” – Thomas W. Dmbroski, January 2000 “101 Creative Problem Solving Techniques: The Handbook of New Ideas for Business” – James M. Higgens, July 1994 “The Thinker’s Toolkit: Fourteen Powerful Techniques for Problem Solving” – Morgan D. Jones, August 1997 14
  17. 17. DEVELOPING TEAMWORK COMPETENCIES Experiential Reading Video/CD Classroom Online Identify internal subject “Gung Ho” www.BusinessTraining Local colleges and www.ideasandtraining.com/Team- matter – Ken Blanchard Media.com universities Building-Programs.html expert and seek knowledge “How to Make Collaboration Work” www.videomedia.net SIA Wharton www.tablegroup.com/Team Coach a sports team – David Straus Assessment www.agts-web.com In-house training Lead a project team “Forming Storming Norming Performing: programs Successful Communication in Groups and Observe other effective team Team” leaders – Donald Egolf “The 2002 Team and Organization Sourcebook” – Mel Silberman “The 17 Indisputable Laws of Teamwork: Embrace Them and Empower Your Team” – John C. Maxell “The Performance Factor: Unlocking Secrets of Teamwork” – Pat MacMillan “The Wisdom of Teams: Creating the High-Performance Organization” – Jon R. Katzenbach & Douglas K. Smith “Team Troubleshooter” – Robert W. Barner “104 Activities That Build: Self Esteem, Teamwork, Communication, Anger Management, Self-Discovery and Coping Skills” – Alanna Jones 15

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