FNS50315Diploma in Finance and Mortgage Broking

Upgrade Program for:

FNS40804 Certificate IV in Financial Services (Finance/Mortgage Broking)
FNS40810/40811 Certificate IV in Finance and Mortgage Broking

The training program has been developed to reflect management job roles in the finance and mortgage broking industry, including roles that are independent, undertaken through an aggregator or involve managing a workplace team as specified by the National Training Information Service. Reference: www.ntis.gov.au

This is a New Nationally Recognised Program following the recent review of the Financial Services Industry Training Package and published for national implementation from November 2010 and is the formal qualification required to meet the membership requirement of the MFAA

In essence, the course’s core focus deals with the critical aspects of the finance professional in today’s licensing regime and builds on the existing knowledge and experience of participants.

The upgrade to the Diploma can be undertaken through a number of pathways:

Two day Face to Face Program
Distance Education Program
Recognition of Prior Learning

Or a blended program incorporating a mix of the above pathways may be undertaken.

Note:  Recognition of Prior Learning is on a case by case application, and may apply to those with at least 3 years in the last 5 years, finance experience dealing with complex or involved lending scenarios.  A portfolio detailing evidence of experience together with course assignments will be required.

“Very refreshing to see content that was actually useful for client interaction and business building.”  Scott Butler, Edge Financial Services

Training options

1. Face to Face Training

Two Day Program - Course Assignments requiredCourse Fee $945.00

2. Distance Education

Self-Paced Learning - Course Assignments requiredCourse Fee $695

3. Recognition of Prior Learning (RPL)

An optional pathway to the qualification for those with prior experience within the Financial Services Industry - Refer to the RPL GuideCourse Fee $545

Note: The Course Fees for these programs are exempt from GST

Specific modules include:

Module 1. Compliance and risk
  • Identify and interpret compliance requirements
  • Scope of operation
  • Identification of compliance requirements
  • Interpretation and analysis of compliance
  • Documentation requirements


  • Identify risk and apply risk management processes
  • Identify risks
  • Analyse and evaluate risks
  • Treat risks
  • Monitor and review effectiveness of risk treatment


  • Apply principles of professional practice to work in the Financial Services Industry (Upgrade of elements from Certificate IV)
  • Identify and apply industry guidelines, procedures and legislation
  • Identify sustainability issues for finance industry
  • Participate in and facilitate work team activities


  • Contribute to OHS identification and risk assessment
  • Contribute to workplace hazard identification
  • Gather information on hazards
  • Contribute to OHS risk assessment


Module 2. Dealing with Complex Transactions
  • Identify and develop complex broking options for client
  • Identify complex broking needs of client
  • Research and consider broking solutions
  • Select and gather appropriate options for client review


  • Present broking options to client’s with complex needs
  • Develop rapport with client
  • Present broking options to client
  • Negotiate effectively
  • Complete and maintain necessary documentation


  • Implement complex loan structures
  • Organise implementation actions
  • Establish appropriate procedures for implementation
  • Undertake and/or supervise implementation


Module 3. Developing the Business
  • Develop and nuture relationships with clients, other professionals and third party referrers
  • Develop professional business relationships
  • Build and maintain business networks and relationships
  • Nuture relationships and build long term referral business


  • Improve the practice
  • Diagnose the business
  • Benchmark the business
  • Develop plans to improve performance of practice


  • Grow the practice
  • Develop marketing plan for practice
  • Develop growth plans for practice
  • Implement and monitor plan


Diploma Competencies

Module 1. Units (4)
  • BSBCOM501BIdentify and interpret compliance requirements
  • BSBRSK401AIdentify risk and apply risk management processes
  • FNSINC401AApply principles of professional practice to work in the Financial Services Industry
                                      (Upgrade of elements from Certificate IV)
  • BSBOHS303BContribute to OHS identification and risk assessment
Module 2. Units (3)
  • FNSFMB502AIdentify and develop complex broking options for client
  • FNSFMB503APresent broking options to client’s with complex needs
  • FNSFMB504AImplement complex loan structures
Module 3. Units (3)
  • FNSCUS501ADevelop and nuture relationships with clients, other professionals and third party referrers
  • FNSPRM602AImprove the practice
  • FNSPRM603AGrow the practice
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