Qualification Outline

Date retreived
22/07/2026 6:05 AM AWST

Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.

Certificate IV in Financial Services (Finance/Mortgage Broking)

Certificate IV in Financial Services (Finance/Mortgage Broking)

Qualification
National Code:
FNS40804
State Code:
C670
TGA Status:
Replaced
DTWD Status:
Replaced
National Endorsed, State Implementation and Classification
Field of Education
0811 - Banking, Finance And Related Fields
Original TGA Release Date
10/07/2004
Approved Date
15/12/2004
Stream of Study
Initial Vocational (3100 - 3600)
VET Act Classifier
C
Nominal Hours
300
Duration
1 Semester
Current Release Number
1.00
Current Release Date
10/07/2004
VET Act Conditions
—
Releases
Release Version Release Date TGA Status DTWD Status
1.00 10/07/2004 Current Approved
Description
Schedule
Packaging Rules
To attain a Certificate IV in Financial Services (Finance/Mortgage Broking) thirteen (13) units must be achieved:
Four (4) industry core units, plus
Five (5) sectoral core units, plus
Four (4) elective units.
1.

INDUSTRY CORE UNITS: Learners to complete the four (4) industry core units listed below.

State Code National Code Title Hours Type
C9746 FNSICGEN304B Apply health and safety practices in the workplace 5 Unit of competency
C9758 FNSICIND401B Apply principles of professional practice to work in the financial services industry 20 Unit of competency
C9743 FNSICGEN301B Communicate in the workplace 35 Unit of competency
C9744 FNSICGEN302B Use technology in the workplace 60 Unit of competency
2.

SECTORAL CORE UNITS: Learners to complete the five (5) sectoral core units listed below.

State Code National Code Title Hours Type
C9645 FNSCOMP501B Comply with financial services legislation, industry and professional codes of practice 40 Unit of competency
C9664 FNSFBRK401B Prepare and present loan application to lender on behalf of finance or mortgage broking client 20 Unit of competency
C9666 FNSFBRK403B Present broking options to client 20 Unit of competency
C9653 FNSCRDT301B Process applications for credit 15 Unit of competency
C9665 FNSFBRK402B Provide finance and/or mortgage broking services 20 Unit of competency
3.

ELECTIVE UNITS: Learners to complete four (4) elective units. The four (4) elective units may be selected as follows:
All four (4) elective units may be selected from the Financial Services Training Package at the Certificate IV level.
Of the four (4) elective units, up to one (1) units at Diploma level may be included in this qualification.
Of the four (4) elective units, up to three (3) units may be selected from other endorsed Training Packages in accordance with other packaging guidelines for this qualification.

The units listed below are suggested as suitable electives.

**See Levels Chart for full list of units available in the Financial Services Training Package.

State Code National Code Title Hours Type
C9734 FNSICCUS501B Develop and nurture relationships with clients, other professionals and third party referrers 80 Unit of competency
C9667 FNSFBRK404B Manage self in finance and/or mortgage broking industry 15 Unit of competency
C9804 FNSICSAM403B Prospect for new clients 15 Unit of competency
C9668 FNSFBRK501B Settle application and loan arrangements in the finance/mortgage broking industry 15 Unit of competency
Replaced By
State Code National Code Title Type
S707 FNS40810 Certificate IV in Finance and Mortgage Broking Qualification
VET Info Notes
This training program is a representation of the qualification code FNS40804 taken from the Financial Services Training Package FNS04 which should be consulted for full description of requirements. FNS04 is endorsed until 31/10/2007.
1. This qualification is the copyright of The Australian National Training Authority.

2. Further information on this qualification is contained in the training Package available from Australian Training Products Ltd., Tel: (03) 9630 9836.

3. This qualification was entered on to the STARS by the VET Teaching and Learning on 15/12/2004.
Entry Requirements
No information
Traineeships and Apprenticeships
No information