10 units must be achieved:
6 core units
plus4 elective units
the required elective units of competency may be selected from Groups A, B or C, from units aligned to Advanced Diploma qualifications in the FNS10 Financial Services or another endorsed Training Package or accredited course.
Elective units must be relevant to the work outcome, local industry requirements and the qualification level.
Units selected from other Training Packages or accredited courses must not duplicate units selected from or available within the FNS10 Financial Services or BSB07 Business Services Training Packages.
Core units of competency:
BSBCOM603B Plan and establish compliance management systems
BSBINM401A Implement workplace information system
BSBMGT605B Provide leadership across the organisation
FNSFMK505A Comply with financial services legislation and industry codes of practice
FNSPRM601A Establish, supervise and monitor practice systems to conform with legislation and regulations
FNSPRM606A Establish or review human resources, administration and information support
Elective units of competency:
BSBOHS303B Contribute to OHS Hazard identification and risk assessment
FNSRSK501A Undertake risk identification
FNSRSK502A Assess risks
FNSRSK601A Develop and implement risk mitigation plan
FNSRSK602A Determine and manage risk exposure strategies
FNSFMK510A Prepare trading strategies for clients
FNSFMK601A Price financial transactions
FNSFMK602A Hedge financial products
Group C (ASIC units that may be required for compliance with RG 146)
FNSASICS503A Provide advice in Foreign Exchange
FNSASICV503A Provide advice in Derivatives
FNSASICW503A Provide advice in Securities
FNSIAD501A Provide appropriate services, advice and products to clients
FNSIAD502A Provide appropriate and timely information and advice to clients
FNSCUS504A Manage premium customer relationships
FNSCUS505A Determine client requirements and expectations
FNSCUS506A Record and implement client instructions
FNSINC501A Conduct product research to support recommendations
NOTE Certain elective units may be required to progress to membership of relevant professional organisations. Learners should establish such requirements where they apply in order to make appropriate choices.