Diploma of Finance and Mortgage Broking

Course ID: FNS50315

Course overview

This qualification reflects management roles in finance and mortgage broking where work is undertaken independently, through an aggregator, or involves managing a workplace team.

At this level individuals are expected to apply theoretical knowledge and specialised skills in a range of situations and to display initiative and judgement in planning activities. They have autonomy in performing complex technical operations and may be responsible for the work of others within broad but generally well-defined parameters.

Total number of units = 15 

10 core units  plus

5 elective  units

The elective units consist of:

  • 3 from the electives below.

Of the remaining 2 units:

  • up to 2 may be from the electives
  • up to 2 may be from Certificate IV, 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 

  • BSBRSK401 Identify risk and apply risk management processes
  • FNSCUS501 Develop and nurture relationships with clients, other professionals and third party referrers
  • FNSFMB401 Prepare loan application on behalf of finance or mortgage broking clients
  • FNSFMB402 Identify client needs for broking services
  • FNSFMB403 Present broking options to client
  • FNSFMB502 Identify and develop broking options for client s with complex needs
  • FNSFMB503 Present broking options to client with complex needs
  • FNSFMB504 Implement complex loan structures
  • FNSFMK505 Comply with financial services legislation and industry codes of practice
  • FNSINC401 Apply principles of professional practice to work in the financial services industry

Elective Units 

  • BSBINM401 Implement workplace information system
  • BSBMGT502 Manage people performance
  • BSBMGT517 Manage operational plan
  • BSBMGT605 Provide leadership across the organisation
  • BSBSMB405 Monitor and manage small business operations
  • BSBSUS501 Develop workplace policy and procedures for sustainability
  • BSBWHS303 Participate in WHS hazard identification, risk assessment and risk control
  • FNSFMB501 Settle applications and loan arrangements in the finance and mortgage broking industry
  • FNSINC503 Identify situations requiring complex ethical decision making
  • FNSINC504 Apply ethical frameworks and principles to make and act upon decisions
  • FNSORG502 Develop and monitor policy and procedures
  • FNSPRM601 Establish, supervise and monitor practice systems to conform with legislation and regulations
  • FNSPRM602 Improve the practice
  • FNSPRM603 Grow the practice
  • FNSRSK501 Undertake risk identification
  • FNSRSK502 Assess risks
  • FNSRSK602 Determine and manage risk exposure strategies
  • TAEDEL402 Plan, organise and facilitate learning in the workplace

Training providers who offer this course

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