MORTGAGE BROKING AND FINANCE

CAPSTONE ASSESSMENT
This assessment is your capstone and final assessment that you need to complete as
you transition to your new Mortgage Broking and Finance program.
This assessment consists of ONE activity – a presentation.
You should imagine that you have been asked to give a presentation to senior
management or new staff or a mentoring event outlining aspects of your job role, your
development plans and your knowledge of the industry’s product offerings. You will find
directions in the notes section of each slide
Use the following template to create the content for your presentation. You should then
record your presentation and upload a link to the ISM portal
1
INSTRUCTIONS – Major Presentation
ALL INSTRUCTIONS PRIOR TO COMMENCING THIS ACTIVITY

STEP 1
Download this activity to your computer to edit.
Read ALL instructions
Read the scenarios

STEP 2
Complete your details where prompted on each slide
Add notes as to each slide as per the example on this slide
Use the prompts/examples provided

STEP 3

Your presentation will need to be recorded on a smart device and

uploaded to your portal.
FNSINC411-CONDUCT WORK ACCORDING TO PROFESSIONAL PRACTICES IN THE
FINANCIAL SERVICES
FNSINC412 – APPLY AND MAINTAIN KNOWLEDGE OF FINANCIAL PRODUCTS AND
SERVICES

{insert your name here}

 ABOUT
YOUR ROLE
{note down 5 tasks from your job role}

1.

2.

3.

4.

5.

4
SLIDE 1
 COMPLIANCE
INDUSTRY/ORGANISATION
CODES OF CONDUCT POLICIES & PROCEDURES
{insert your description of codes of conduct} {note how or where you can access your
policies & procedures}

COMPLIANCE AND REGULATORY ETHICS

REQUIREMENTS {what are two ethical considerations that must
List 3 compliance , legislation, regulatory be complied with in your role?}
requirements that affect your industry}

INDUSTRY PLAYERS
{note three industry players}

SLIDE 2
 TYPES OF COMMUNICATION

TYPE 1 TYPE 2 TYPE 3

{detail the example of a {Note how you communicate {insert your example of a
recent internal with your line manager} client or stakeholder
communication} communication}

SLIDE 3
COMMUNICATE
MEET THE TEAM

{insert your name} A- {Name} B- {Name} C- {Name}

{insert your job title/role} {Role} {Role} {Role}

SLIDE 4
 YOUR

ABOUT YOU
PROFESSIONAL/PERSONAL
DEVELOPMENT
Key Development Opportunities:
1. {Insert training opportunity}
2. {Insert professional development opportunity}
3. {Insert personal development opportunity}

SLIDE 5 8
 TEAM

YOUR TEAM
PROFESSIONAL/PERSONAL
DEVELOPMENT
Key Development Opportunities:
1. {Insert training opportunity}
2. {Insert professional development opportunity}
3. {Insert personal development opportunity}

SLIDE 5 9
 MY DEVELOPMENT ACTIVITY ACTION PLAN

Development activity Resource Who do I need to help When will I complete my

me achieve my goal activity

Example learn to touch Undertake online typing Line manager to approve By end of the next quarter
type training training request

{Insert your activity here} {note the resources you {detail the person or {note the date you
require} people who can help} anticipate to complete
your activity}

SLIDE 6 10
 INDUSTRY • PRODUCT 1 DESCRIPTION:
PRODUCT
Insert details here
KNOWLEDGE
SUITABLE CUSTOMER GROUPS:

11
 INDUSTRY • PRODUCT 2 DESCRIPTION:
PRODUCT
Insert details here
KNOWLEDGE
SUITABLE CUSTOMER GROUPS:

12
 INDUSTRY • PRODUCT 3 DESCRIPTION:
PRODUCT
Insert details here
KNOWLEDGE
SUITABLE CUSTOMER GROUPS:

13
 INDUSTRY • PRODUCT 4 DESCRIPTION:
PRODUCT
Insert details here
KNOWLEDGE
SUITABLE CUSTOMER GROUPS:

14
 INDUSTRY • PRODUCT 5 DESCRIPTION:
PRODUCT
Insert details here
KNOWLEDGE
SUITABLE CUSTOMER GROUPS:

15
 INDUSTRY • PRODUCT 6 DESCRIPTION:
PRODUCT
Insert details here
KNOWLEDGE
SUITABLE CUSTOMER GROUPS:

16
5 TOP TIPS:
1.
2.
3.
4.
5.
17