FNS40815 Certificate IV in Finance & Mortgage Broking (Acc&FP Stream) Assessment

FNS40815 Certificate IV in Finance & Mortgage Broking (Acc&FP Stream)
Assessment cover sheet
In order for your assessment to be marked you must complete and upload all
tasks and this cover sheet via the AAMC Training Group portal. Your assessment
tasks must be uploaded in an electronic format i.e. Word, Excel, PDF or Scan. Please see
the step-by-step instructions in your Member Area on how to upload assessments.
Student details
Course name FNS40815 Certificate IV in Finance and Mortgage Broking (Acc&FP Stream)
Assessment name FNS40815 Acc/FP Stream Assessment
Surname Given name
Address Postcode
Email
Phone Phone (other)
Current occupation
Industry Years in industry
When you upload your assessment you will be asked to confirm that your assessment submission
to AAMC Training is your own work and NOT the result of plagiarism or excessive collaboration,
and that all material used from any third party has been identified and referenced appropriately.
AAMC Training may conduct independent evaluation checks and contact your supervisor to
discuss your assessment.
Checklist of attachments:
Task 1 -Third party observer checklist and reference
Task 2 - Short Answer questions
Please indicate style of course undertaken:
Face to face – Trainer’s name: Correspondence Online
Once your assessment has been successfully uploaded it will be pending review with your
nominated course assessor. Your assessor will mark your assessment and you will receive an
email advising you if you have been assessed as satisfactory. If you are marked as not yet
satisfactory you will be contacted and asked to provide additional information or re-visit the
assessment and re-upload your amended case study or written tasks.
Please contact our head office if you need assistance with your assessment:
Office: [phone] Fax: [phone] Email: [e-mail]
Assessment V2.2 © AAMC Training Group A1

FNS40815 Certificate IV in Finance & Mortgage Broking (Acc&FP Stream)
FNS40815 Acc/FP Stream Assessment
This assessment encompasses the following five units of competency:
 FNSINC401 Apply principles of professional practice to work in the financial services
industry
 FNSFMK505 – Comply with legislation and industry codes of practice
 BSBWOR501 – Manage personal work priorities and professional development
 FNSSAM403 - Prospect for new clients
 BSBITU306 – Design and produce business documents
The following are requirements to complete and submit this assessment:
 Task 1 -Third Party Observer checklist and reference
 Task 2 - Short answer questions
A2 © AAMC Training Group Assessment V2.2

FNS40815 Certificate IV in Finance & Mortgage Broking (Acc&FP Stream)
Task 1: Third Party Declarer Checklist
Instructions for Third Party Declarer
You have been approached to provide evidence on behalf of an applicant (candidate) wishing to
obtain Recognition of Prior Learning (RPL) for BSBITU306 – Design and produce business
documents and FNSSAM403 – Prospect for new clients.
BSBITU306 – Design and produce business documents
This unit describes the performance outcomes, skills and knowledge required to design and
produce various business documents and publications. It includes selecting and using a range of
functions on a variety of computer applications.
FNSSAM403 – Prospect for new clients
This unit describes the skills and knowledge required to identify and contact potential client
prospects using networks, leads and research skills as well as cold calling. Initial contact may
happen over the phone or email, in person, at conferences and presentations, or through a variety
of networking opportunities.
The evidence you are to provide is based on your assessment of the applicant’s ability to work to
a satisfactory level of performance in these areas.
Before you agree to act as a Third Party assessor please beware that you need to:
 Have a sound understanding of business processes.
 Be employed in a business capacity for at least three years.
For the purpose of this exercise, your main role is to complete the following competency
checklist. Basically the candidate is seeking verification from you for this unit of competence.
It is important that you answer fairly and honestly. If you are not confident that the candidate
possesses skills and knowledge in particular areas listed please do not tick these items.
In addition to completing the competency checklists, you will need to:
 Sign the statement to confirm your answers are true and correct.
 Provide a written reference for the applicant. Please note that a sample referee template
has been provided which you can use to help with the written reference.
Applicants should be able to display knowledge and skills of the following points. The third party
declarer must indicate competency by checking the boxes in each column if the applicant is
competent.
Assessment V2.2 © AAMC Training Group A3

FNS40815 Certificate IV in Finance & Mortgage Broking (Acc&FP Stream)
BSBITU306 – Design and produce business documents
☐ Use of computer and software programs i.e. Windows , Microsoft or other applications
☐ Use other technology devices such as mouse, keyboard, printer, scanner etc.
☐ Maintain a client database
☐ Gathering client data and/or use of CRM
☐ Storage, access, use and maintenance (validity/integrity) of client information
☐ Use correct style, layout, format and design
☐ Use help, manuals or other services to help overcome technical difficulties
☐ Proof read document for errors in design, spelling, language etc.
☐ Complete document production within designated timelines
☐ Save documents in accordance with organisational principles
☐ Design and produce a minimum of three completed business documents, using at least two software
applications in the production of each document
FNSSAM403 - Prospect for new clients
☐ Creates rapport with clients by explaining the products and services provided, role of the adviser and
company and by gathering appropriate client data through questioning and listening techniques.
☐ Identify prospective client’s needs by encouraging them to express needs and goals. The individual responds
appropriately and clearly to the client’s needs.
☐ Secures commitment by overcoming objections and identifying next steps via commitment from clients.
☐ Manages prospective client information by recording information, determining appropriate products services
and options.
A4 © AAMC Training Group Assessment V2.2