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Follow the links below to find material targeted to the unit's elements, performance criteria, required skills and knowledge

Elements and Performance Criteria

1. Prepare to provide financial services
   • Identify tasks, requirements and responsibilities involved in own job role
   • Identify procedures, guidelines, policies, standards, codes of practice and ethical requirements relevant to own job role
   • Consult with appropriate colleagues to identify position and responsibilities of own job role in wider organisation
2. Provide financial services within the professional practice framework
   • Apply relevant procedures, guidelines, policies, standards, codes of practice and ethical considerations to own job role
   • Carry out work tasks according to organisational policies and procedures, and in accordance with industry, organisational and community expectations
   • Communicate with colleagues and clients regarding stakeholder needs and expectations of own job role as required
3. Maintain professional practice
   • Identify and review personal professional development needs and goals on regular basis
   • Clarify and comply with organisational, legislative, and regulatory requirements
   • Consult with managerial staff to clarify ongoing expectations and goals of organisation and job role

Performance Evidence

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

complete at least two work tasks according to professional practices in the financial services industry.

In the course of the above, candidate must:

interpret and comply with organisational, legislative, and regulatory requirements.

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Knowledge Evidence

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

key features of documents related to own job role required to produce the performance evidence including:

organisational policies and procedures

guidelines

legislation

regulation

industry codes of practice required to produce the performance evidence

ethical considerations pertaining to own job role

industry, organisational and community expectations of dealing with products, services and clients in the financial services industry

communication pathways within financial services organisations

key professional development opportunities in the financial services industry.

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