In order to be deemed competent, you will need to evidence the ability to: Develop detailed broking options designed to maximise the client’s outcomes and reach client objectives which incorporate elements from research and which address complex needs and issues Identify and describe key assumptions upon which the plan is based Provide a detailed analysis of research strategies and findings Test and make appropriate checks on a proposed plan for its integrity and compliance Assess the impacts of taxation, social security, economic and other government policies on client investment and financial requirements Interpret and comply with industry regulations and codes of practice Identify the roles of associated financial advisers and work effectively with them Assess broking options, financial markets and investment characteristics Use appropriate sales and marketing methodologies and provide justification and research evidence Gain client feedback on and/or agreement to the plan Prepare materials and personnel to effectively implement complex loan structures Establish appropriate audit trails and effectively document records and data
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