Course name: FNS40217 Certificate IV in Finance and Mortgage Broking 

Campus: Sydney

This qualification reflects the job roles of individuals working in finance broking (including mortgage broking). They apply solutions to a defined range of unpredictable problems, they analyse and evaluate information from a variety of sources. They may provide guidance to others and have limited responsibility for the output of others.

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Course Briefing

NTIS Code: FNS40217

CRICOS Course Code: 097827K

Name of Qualification

Certificate IV in Finance and Mortgage Broking (Australian domestic students Only)

Delivery Mode

This course is delivered as a combination of classroom workshops, seminars, and/or online training activities etc.

SIIT is using MOODLE online learning platform for its online learning components. Satisfactory course progress must be maintained throughout the entire course.  


52 Weeks

Tuition Fees


Enrolment Fees (non-refundable)


Material Fees (non-refundable)


If Diploma/Advanced Diploma, is year 12 (or equivalent) required for entry?


Total curriculum hours (including practicum) required to complete the course:


Is the course delivered full-time?


Training Arrangements

2 days classroom and 1 day online

Packaging Rules

A total number of 12 units including 8 core units and 4 elective units are selected for the completion of this qualification according to the training package. All electives have been chosen to be relevant to the work outcome, local industry requirements and the qualification level therefore will contribute to a valid, industry-supported vocational outcome.

Following units of competency are offered in this qualification:

Unit Code

Unit Name

Core/ Elective


Design and produce business documents



Process applications for credit



Prepare loan application on behalf of finance or mortgage broking clients



Identify client needs for broking services



Present broking options to client



Comply with financial services legislation and industry codes of practice



Apply principles of professional practice to work in the financial services industry



Develop and maintain in-depth knowledge of products and services used by an organisation or sector



Establish client relationship and analyse needs



Develop, present and negotiate client solutions



Develop and nurture relationships with clients, other professionals and thirdparty referrers



Settle applications and loan arrangements in the finance and mortgage broking industry


Entry Requirements

There are no specific entry requirements for this qualification outlined in the qualification description. However, students must:

  • have satisfactorily completed Year 12 of secondary education or its equivalent, or have appropriate and relevant experience, and;
  • complete a screening interview with the Academic Manager of his representative to assess suitability and capability in completing this qualification,
  • If it is determined that the student need to complete a Language, Literacy and Numeracy (LLN) test, the student will be required to complete a LLN test to determine whether the student might be suitable for this qualification or any supporting services might be required during the student’s enrolment at SIIT.

RPL/Credit Transfer

  • RPL: Students who believe they already have some of the competencies in the course may apply for Recognition of Prior Learning (RPL). Application and payment of fees may only be made after enrolment by using the RPL Application Form.
  • Credit transfer: Students who have completed units from their course at other institutions will be given recognition on presentation of a verified transcript, Award or Statement of Attainment.

Assessment Methods

A range of assessment and evidence gathering methods and techniques are used including 2 – 4 or more methods for each unit of competency. For this course, methods include:

  • Written questions and tests
  • Practical demonstrations
  • Case studies
  • Projects, assignments and research tasks
  • Roleplays, simulations and presentations

Pathways from the qualification

Pathways into the qualification:

  • Preferred pathways for students entering this qualification include:
  • FNS30115 Certificate III in Financial Services
  • FNS30615 Certificate III in Insurance Broking
  • BSB40515 Certificate IV in Business Administration
  • BSB40215 Certificate IV in Business
  • Previous experience in a finance/broking role

Pathways from the qualification:

On successful completion of this qualification students may choose to undertake studies at a Diploma level, e.g. Diploma of Finance and Mortgage Broking and Management or a Diploma in a related field.

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