Certificate IV in Financial Services - FNS41815


Type of institution: TAFE Institute
Level: Pre-degree
CRICOS: 00591E

This qualification is designed to provide a flexible general purpose pathway in the financial services industry. It is intended to meet the training needs of employees with roles that involve working across a range of duties in the financial services sector where a specialist qualification is not the most suitable qualification to meet their training needs. Individuals in these roles apply theoretical and technical knowledge and skills to work autonomously and exercise judgement in completing routine and non-routine activities.Licensing/Regulatory Information Work functions in the occupational areas where this qualification may be used are subject to regulatory requirements. Refer to the FNS Implementation Guide Companion Volume or the relevant regulator for specific guidance on requirements.


  • 13 units: 1 core
  • 12 elective


  • Survey stakeholders to gather and record information
  • Monitor and maintain records in an online environment
  • Manage and recover bad and doubtful debts
  • Lead team effectiveness
  • Manage customer visits
  • Manage a small team
  • Provide services in a Business Transaction Centre
  • Make decisions in a legal context
  • Coordinate a small business customer portfolio
  • Promote mobile banking services
  • Establish client relationship and analyse needs
  • Promote understanding of the role and effective use of consumer credit
  • Implement customer service standards
  • Develop work priorities
  • Contribute to health and safety of self and others
  • Comply with financial services regulation and industry codes of practice
  • Work effectively with others
  • Implement risk management strategies
  • Build client relationships and business networks
  • Align banking products with the needs of small business customers
  • Apply the principles of contract law
  • Make a presentation
  • Prospect for new clients
  • Conduct individual work within a compliance framework
  • Organise and monitor the operation of compliance management system
  • Implement workplace information system
  • Collect, assess and use information
  • Develop and maintain knowledge of financial markets products
  • Apply project quality management techniques
  • Apply project cost management techniques
  • Provide mobile banking sales and services
  • Sell financial products and services
  • Mentor in the workplace
  • Maintain business technology
  • Contribute to WHS hazard identification, risk assessment and risk control
  • Address customer needs
  • Reconcile financial transactions
  • Develop and maintain in-depth knowledge of products and services used by an organisation or sector
  • Apply project risk management techniques
  • Identify risk and apply risk management processes
  • Assess credit applications
  • Establish and maintain appropriate security
  • Implement processes for the management of a breach in compliance requirements
  • Participate in negotiations
  • Interpret financial markets information
  • Show leadership in the workplace
  • Organise meetings
  • Develop and use complex spreadsheets
  • Implement continuous improvement
  • Identify and apply the legal framework
  • Prepare operational budgets
  • Lead effective workplace relationships
  • Resolve disputes
  • Plan, organise and facilitate learning in the workplace
  • Analyse and present research information
  • Provide personal leadership
  • Utilise the legal process to recover outstanding debt
  • Maintain inventory records
  • Establish and maintain a payroll system
  • Develop, present and negotiate client solutions
  • Be MoneySmart through a career in small business
  • Implement a sales plan
  • Promote compliance with legislation
  • Use business technology
  • Conduct product research to support recommendations
  • Coordinate implementation of customer service strategies
  • Apply principles of professional practice to work in the financial services industry
  • Manage overdue customer accounts

Study information

CampusFeesEntryMid year intakeAttendance
OTEN (Open Training Education Network) No

Further information

Where the packaging of this qualification meets the rules of a specialist qualification at this level, the specialist qualification must be awarded. This includes where applicable any entry requirements.

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