Certificate IV In Finance And Mortgage Broking Clients - Accounting Assignment Help

Assignment Task

 

Part 1: Instructions for completing and submitting this oral assignment

Completing the oral assignment

For this oral assignment you are required to complete the following tasks:

• Part 2: Preparation for oral assessment: You must complete and submit your responses in this document.

• Part 3: Oral response to questions: To be completed by audio recording.
 

Your assessor will complete the checklist.

• Part 4: Role play: To be completed by audio recording with a volunteer.
Your assessor will complete the checklist.

• Part 5: Role play: To be completed by audio recording with a volunteer. You must also complete and submit the Prospect register in this document. Your assessor will complete the checklist.

• Part 6: Role play: To be completed by audio recording with a volunteer.
Your assessor will complete the checklist.

More information regarding requirements for the oral assignment are provided in the resources in your subject in KapLearn.

Saving your work

Download this document to your desktop, type your answers in the spaces provided and save your work regularly.

• Use the template provided, as other formats will not be accepted for these assignments. 

• Name your file as follows: Studentnumber_Subjectcode_Oral_versionnumber_Submissionnumber

• Include your student ID on the first page of the assignment.

Before you submit your work, please do a spell check and proofread your work to ensure that everything is clear and unambiguous.

Submitting the oral assignment

• You must submit your completed oral assignment (Word document) in a compatible Microsoft Word document. You need to save and submit this entire document. 
• Do not remove any sections of the document.
• Do not save your completed oral assignment as a PDF.
• You will also need to upload an audio recording of your oral assessment.
• The oral assignment (in Word) and the audio recording must all be completed before submitting it to Kaplan Professional Education. Incomplete oral assignment documents and/or audio recordings will be returned to you unmarked. 
• The maximum file size for the written assignment (word document), oral assignment (word document) and audio recording is 20MB. Once you submit your oral assignment and audio recording for marking you will be unable to make any further changes to it.
• You are able to submit your written and oral assignment earlier than the deadline if you are confident you have completed all parts and have prepared a quality submission.
• Refer to your study guide so you can plan ahead to complete your audio recording before the written and oral assignment is due.   
• For more information see the resources in your subject about how to organise and upload your audio recording in KapLearn.

 

Note: The written assignment (in Word), oral assignment (in Word) and audio recording must all be submitted together.

The oral assignment marking process

• You have 26 weeks from the date of your enrolment in this subject to submit your completed oral assignment and audio recording. 
• If you reach the end of your initial enrolment period and have been deemed ‘Not yet demonstrated’ in one or more assessment items, then an additional four (4) weeks will be granted, provided you attempted all assessment tasks during the initial enrolment period.
• Your assessor will mark your assignments and return them to you in the subject room in KapLearn under the ‘Written and Oral Assessment’ page.
• Make a reasonable attempt
• You must demonstrate that you have made a reasonable attempt to complete all the parts of your oral assessment. Failure to do so will mean that your oral assignment will not be accepted for marking, therefore you will not receive the benefit of feedback on your submission. 
• If you do not meet these requirements, you will be notified. You will then have until your submission deadline to submit your completed written and oral assessment.
• How your oral assignment is graded
• Oral assignment tasks are used to determine your ‘competence’ in demonstrating the required knowledge and/or skills for each subject. As a result, you will be graded as either Demonstrated or Not yet demonstrated for this oral assessment.

 

Your assessor will follow the below process when marking your oral assignment:

• Assess your responses in each part of the oral assessment, and then determine whether you have demonstrated competence in each question or checklist. 

• Determine if, on a holistic basis, your responses have demonstrated overall competence.

You must be deemed to be demonstrated in all assessment items in order to be awarded the units of competency in this subject including:

• all of the exam questions

• the written and oral assignment.

‘Not yet demonstrated’ and resubmissions

Should parts of your oral assignment be marked as ‘not yet demonstrated’ you will be given an additional opportunity to amend your responses so that you can demonstrate your competency to the required level.

You must address the assessor’s feedback in your amended responses. You only need amend those sections where the assessor has determined the assessment result is ‘not yet demonstrated’.

You may be asked to re-record a part of your audio recording or to answer some written questions in this document. Use a different text colour for any written sections of your resubmission. Your assessor will be in a better position to gauge the quality and nature of your changes. Ensure you leave your first assessor’s comments in your oral assignment, so your second assessor can see the instructions that were originally provided for you.

 

Units of competency

• Prospect for New Clients
• 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
• Settle applications and loan arrangements in the finance and mortgage broking industry
• Comply with financial services regulation 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
• Design and produce business documents
• Deliver and monitor a service to customers
• Address customer needs

Question 1

How do you assess the need to adjust your interpersonal style to effectively communicate with different types of clients? Provide two (2) examples (e.g. when you are dealing with a difficult client).

Question 2

You have a new client, Jeff Smith, and have just made an appointment to meet with him.
Compose a professional email to send to Jeff, confirming the appointment, outlining the purpose and time of your first meeting. Your email should also name the document/s you have attached for him to read prior to this meeting. Ensure that you include the document/s relevant to Responsible lending disclosure obligations that must be provided before discussing credit activities with the client.  (For this assessment there is no need to attach the document/s.)

 

Question 3

In Parts 3, 4, 5 and 6 of this assignment you will act as a broker and will be required to make an audio recording. Prepare a list of resources and equipment you will need for these oral tasks.

 

Question 4

Aside from the resources and equipment identified in Part 2 Question 3 of this assignment:

• What will you do to prepare for the delivery of the loan proposal in Part 4: Role play? 

• What communication techniques would you use to respond to any difficult questions? 

Note: You can refer to the case study information in Part 4 to answer this question.

 

Question 5

In Part 5 of this oral assignment you will act as an Administrative Assistant and will be required to make an audio recording of two cold calls to prospective clients.

 

Question 6

There have been recent changes to the level of ‘reasonable enquiries’ required to assess a client’s financial position making it necessary to obtain a number of additional documents to complete a more depth check of living expenses. Explain below how you would detail these changes to colleagues.

 

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