Certificate IV in Financial Services - FNS41820


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 for individuals with job roles that involve working across a range of duties in the financial services sector where a specialist qualification is not the most suitable qualification. 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 InformationWork functions in the occupational areas where this qualification is used may be subject to regulatory requirements. Refer to the relevant regulator for specific guidance on requirements.


  • 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 a small team
  • Mentor in the workplace
  • Contribute to WHS risk management
  • Provide services in a Business Transaction Centre
  • Conduct individual work within a compliance framework
  • Determine impact of social security entitlements on retirement income
  • Coordinate a small business customer portfolio
  • Promote understanding of the role and effective use of consumer credit
  • Prepare operational budgets
  • Implement customer service standards
  • Develop work priorities
  • Provide mobile banking sales and services
  • 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
  • Establish and maintain payroll systems
  • Establish and administer retirement income streams
  • 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
  • Conduct work according to professional practices in the financial services industry
  • Identify situations requiring complex ethical decision making
  • Apply ethical frameworks and principles to make and act upon decisions
  • Sell financial products and services
  • Apply risk management strategies to own work
  • Develop and apply knowledge of aged care
  • Develop and maintain in-depth knowledge of products and services used by an organisation or sector
  • Apply project risk management techniques
  • Comply with financial services regulation and industry codes of practice
  • Identify risk and apply risk management processes
  • Plan, organise and facilitate learning in the workplace
  • Assess credit applications
  • Perform reconciliations
  • Establish and maintain appropriate security
  • Implement processes for the management of a breach in compliance requirements
  • Provide specialist retirement income stream information to clients
  • Participate in negotiations
  • Apply knowledge of retirement planning issues when dealing with clients
  • Interpret financial markets information
  • Manage mobile lending services
  • Show leadership in the workplace
  • Organise meetings
  • Develop and use complex spreadsheets
  • Make decisions in a legal context
  • Implement continuous improvement
  • Analyse financial reports and budgets
  • Identify and apply the legal framework
  • Lead effective workplace relationships
  • Resolve disputes
  • Analyse and present research information
  • Utilise the legal process to recover outstanding debt
  • Maintain inventory records
  • Be MoneySmart through a career in small business
  • Implement a sales plan
  • Promote compliance with legislation
  • Conduct product research to support recommendations
  • Terminate retirement income streams
  • Coordinate implementation of customer service strategies
  • Manage overdue customer accounts

Study information

CampusFeesEntryMid year intakeAttendance
Meadowbank Campus No
  • Flexible Delivery : 52 weeks
OTEN (Open Training Education Network) No
  • Online/Off-campus : 18 months

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