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Description of the Qualification
This is the E-Learning course , no class training is required. This qualification reflects the job roles of individuals working in finance broking (including mortgage broking). They apply solutions to a defined range of unpredictable problems, they analyse and evaluate information from a variety of sources. They may provide guidance to others and have limited responsibility for the output of others.
Certificate IV in Finance and Mortgage Broking – Course Briefing
NTIS Code: FNS40815 E-learning.
Name of Qualification Certificate IV in Finance and Mortgage Broking
Delivery Mode This course is delivered as a combination of classroom workshops, seminars, and/or online training activities etc. SIIT is using MOODLE online learning platform for its online learning components. Satisfactory course progress must be maintained throughout the entire course.
Duration 52 Weeks
Tuition Fees
Administration Fee (non-refundable) N/A
Material Fees (non-refundable) N/A
If Diploma/Advanced Diploma, is year 12 (or equivalent) required for entry? YES
Total curriculum hours (including practicum) required to complete the course: 800
Is the course delivered full-time? Yes
Training Arrangements 2 days classroom and 1 day online
Certificate IV in Finance and Mortgage Broking – Packaging Rules
A total number of 12 units including 8 core units and 4 elective units are selected for the completion of this qualification according to the training package. All electives have been chosen to be relevant to the work outcome, local industry requirements and the qualification level therefore will contribute to a valid, industry-supported vocational outcome. Following units of competency are offered in this qualification:
Unit Code Unit Name Core/ Elective
BSBITU306 Design and produce business documents C
FNSCRD301 Process applications for credit C
FNSFMB401 Prepare loan application on behalf of finance or mortgage broking clients C
FNSFMB402 Identify client needs for broking services C
FNSFMB403 Present broking options to client C
FNSFMK505 Comply with financial services legislation and industry codes of practice C
FNSINC401 Apply principles of professional practice to work in the financial services industry C
FNSINC402 Develop and maintain in-depth knowledge of products and services used by an organisation or sector C
FNSASIC301 Establish client relationship and analyse needs E
FNSASIC302 Develop, present and negotiate client solutions E
FNSCUS501 Develop and nurture relationships with clients, other professionals and thirdparty referrers E
FNSFMB501 Settle applications and loan arrangements in the finance and mortgage broking industry E
Entry Requirements
There are no specific entry requirements for this qualification outlined in the qualification description. However, students must:
  • have satisfactorily completed Year 12 of secondary education or its equivalent, or have appropriate and relevant experience, and;
  • complete a screening interview with the Academic Manager of his representative to assess suitability and capability in completing this qualification,
  • If it is determined that the student need to complete a Language, Literacy and Numeracy (LLN) test, the student will be required to complete a LLN test to determine whether the student might be suitable for this qualification or any supporting services might be required during the student’s enrolment at SIIT.
RPL/Credit Transfer
  • RPL: Students who believe they already have some of the competencies in the course may apply for Recognition of Prior Learning (RPL). Application and payment of fees may only be made after enrolment by using the RPL Application Form.
  • Credit transfer: Students who have completed units from their course at other institutions will be given recognition on presentation of a verified transcript, Award or Statement of Attainment.
Assessment Methods
A range of assessment and evidence gathering methods and techniques are used including 2 – 4 or more methods for each unit of competency. For this course, methods include:
  • Written questions and tests
  • Practical demonstrations
  • Case studies
  • Projects, assignments and research tasks
  • Roleplays, simulations and presentations
Pathways from the qualification
Pathways into the qualification:
  • Preferred pathways for students entering this qualification include:
  • FNS30115 Certificate III in Financial Services
  • FNS30615 Certificate III in Insurance Broking
  • BSB40515 Certificate IV in Business Administration
  • BSB40215 Certificate IV in Business
  • Previous experience in a finance/broking role
Pathways from the qualification:On successful completion of this qualification students may choose to undertake studies at a Diploma level, e.g. Diploma of Finance and Mortgage Broking and Management or a Diploma in a related field.

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