Total number of units = 10

5 core units plus

5 elective units

The elective units consist of:

up to 5 from the electives below

up to 3 may be from a Diploma or Advanced Diploma in any currently endorsed training package or accredited course.

The elective units chosen must be relevant to the work outcome and meet local industry needs.

Core Units

BSBCOM603 Plan and establish compliance management systems

BSBMGT605 Provide leadership across the organisation

FNSFMK505 Comply with financial services legislation and industry codes of practice

FNSPRM601 Establish, supervise and monitor practice systems to conform with legislation and regulations

FNSPRM606 Establish or review human resources, administration and information support

Elective Units

Group A

Financial risk management

FNSRSK501 Undertake risk identification

FNSRSK502 Assess risks

FNSRSK601 Develop and implement risk mitigation plan

FNSRSK602 Determine and manage risk exposure strategies

Group B

Financial markets

FNSFMK510 Prepare trading strategies for clients

FNSFMK601 Price financial transactions

FNSFMK602 Hedge financial products

Group C

ASIC units

FNSASICS503 *Provide advice in foreign exchange

FNSASICV503 *Provide advice in derivatives

FNSASICW503 *Provide advice in securities

Group D

General financial services units

FNSCUS504 Manage premium customer relationships

FNSCUS505 Determine client requirements and expectations

FNSCUS506 Record and implement client instructions

FNSFMK502 Analyse financial market products for client

FNSFMK503 Advise clients on financial risk

FNSIAD501 Provide appropriate services, advice and products to clients

FNSIAD502 Provide appropriate and timely information and advice to clients

FNSINC501 Conduct product research to support recommendations

*Note the following prerequisite unit requirements:

Nil.