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Evidence Guide: FNSINC411 - Conduct work according to professional practices in the financial services industry

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

FNSINC411 - Conduct work according to professional practices in the financial services industry

What evidence can you provide to prove your understanding of each of the following citeria?

Prepare to provide financial services

  1. Identify tasks, requirements and responsibilities involved in own job role
  2. Identify procedures, guidelines, policies, standards, codes of practice and ethical requirements relevant to own job role
  3. Consult with appropriate colleagues to identify position and responsibilities of own job role in wider organisation
Identify tasks, requirements and responsibilities involved in own job role

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify procedures, guidelines, policies, standards, codes of practice and ethical requirements relevant to own job role

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with appropriate colleagues to identify position and responsibilities of own job role in wider organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide financial services within the professional practice framework

  1. Apply relevant procedures, guidelines, policies, standards, codes of practice and ethical considerations to own job role
  2. Carry out work tasks according to organisational policies and procedures, and in accordance with industry, organisational and community expectations
  3. Communicate with colleagues and clients regarding stakeholder needs and expectations of own job role as required
Apply relevant procedures, guidelines, policies, standards, codes of practice and ethical considerations to own job role

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Carry out work tasks according to organisational policies and procedures, and in accordance with industry, organisational and community expectations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with colleagues and clients regarding stakeholder needs and expectations of own job role as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain professional practice

  1. Identify and review personal professional development needs and goals on regular basis
  2. Clarify and comply with organisational, legislative, and regulatory requirements
  3. Consult with managerial staff to clarify ongoing expectations and goals of organisation and job role
Identify and review personal professional development needs and goals on regular basis

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Clarify and comply with organisational, legislative, and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with managerial staff to clarify ongoing expectations and goals of organisation and job role

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge

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.

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.