List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
ELEMENT | PERFORMANCE CRITERIA |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1. Work within industry guidelines, procedures and legislation | 1.1 Apply guidelines, procedures, legislation and codes of practice to financial services industry and determine effects on everyday work 1.2 Recognise and follow workplace procedures and instructions for environmentally sustainable work practices, and suggest any potential improvements to appropriate personnel 1.3 Carry out work tasks in accordance with specific organisational policy, guidelines and procedures 1.4 Undertake work tasks to meet organisation’s philosophy, values and objectives in relation to customer service, professional practice and ethical principles 1.5 Seek assistance from appropriate personnel to clarify application of guidelines, procedures and legislation, where necessary |
2. Communicate in the workplace | 2.1 Use effective listening and speaking skills in verbal communications 2.2 Respond to instructions or enquiries promptly and in accordance with organisational requirements 2.3 Ensure presentation of written information meets organisational standards of style, format and accuracy in line with financial services industry 2.4 Use communication to develop and maintain positive relationships, mutual trust and confidence |
3. Work safely | 3.1 Follow established safety procedures when conducting work 3.2 Identify designated persons to report queries and concerns about safety in the workplace 3.3 Take action to eliminate workplace hazards or reduce risk 3.4 Follow organisational procedures when responding to emergency incidents |
4. Use workplace technology | 4.1 Access relevant information management systems and databases according to organisational procedures 4.2 Use proprietary or organisational software effectively to develop workplace documents, input and extract data, and make calculations |
5. Work in a team environment | 5.1 Provide support to team members to ensure work group goals are met 5.2 Contribute constructively to work group goals and tasks 5.3 Share information relevant to work with group to ensure designated goals are met 5.4 Share opportunities for improvement of group activity with work group members |
Evidence of the ability to:
access, interpret and comply with organisational policy and procedures
communicate effectively with others and act as an effective team member
use proprietary and industry-specific software effectively in day-to-day activities
accurately interpret and comply with relevant workplace legislation and codes of practice used in the financial services industry
effectively perform work within a quality customer service environment
follow workplace health and safety (WHS) and environmentally sustainable workplace practices.
Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.
To complete the unit requirements safely and effectively, the individual must:
explain the key features of the financial services industry and the way it operates
explain the ethical principles that apply when working in the financial services industry
explain key features of organisational policy and procedures, and work practices
describe effective questioning and listening techniques
describe approaches to environmental and resource efficiency, and relevant procedures for own work area
identify key features of industry codes of practice and relevant legislation and statutory requirements that impact on the industry, including WHS and sustainable work practices
identify proprietary and/or organisational software that can be used to develop workplace documents, input and extract data, and make calculations.
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the industry capability field and include access to:
organisational policy, procedures, legislation, regulations and codes of practice
common office equipment, technology, software and consumables.
Assessors must satisfy NVR/AQTF assessor requirements.