Course Curriculum

  1. Introduction

  2. Client Letter & Email Templates

  3. Checklists

  4. Information Collection Forms

  5. File Note Templates

  6. Quiz

About this course

  • $99.00
  • 1 hour of video content
  • 1 CPD Hour/Point
  • Multiple Choice Assessment
  • Delivery: Online, Self-paced

About this course

Our Client Services Manager Compliance Tools short course provides financial planning practice client services staff with the compliance tools they need to help ensure advice files meet compliance requirements

What you will learn

  • Why its equally important for Client Services Managers to know compliance requirements

  • How certain checklists, templates and forms can help

  • How to feel confident you are meeting your compliance requirements

Who is this short course for?

• Client Support Representatives • Financial Planning Practice Managers • Responsible Managers • Compliance Personnel and Consultants

Certification

You will be awarded a Certificate of Completion. It will be available online for you to download and print immediately

Course Preview

Complementary Resources

As part of the program you will receive the following:

  • 22 Client Letter & Email Templates

  • 5 File Note Templates

  • 4 Client File Checklists

  • 4 Information Collection Forms

Buy a course and we'll plant a tree!

It's just that simple... we will plant one tree for every course purchased. There's no limit to the number of trees we will plant, so buy a course today and take one small step toward a greener tomorrow

Visit the program at OneTreePlanted.org

Course Syllabus

Click here to get further information on the course. You will find the agenda, timetable of each session delivered, the facilitator qualifications and experience in financial services, learning outcomes and more
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Frequently Asked Questions

  • How are the CPD short courses assessed?

    Our CPD short courses are assessed by a short open book multiple-choice exam

  • When can I can enrol?

    Our CPD short courses are 100% online, so you can start anytime, anywhere

  • How do I enrol my team?

    You can enrol your team online. Find the right course and make an online purchase or contact us directly via our enquire today form and the Total Advice Compliance team can easily arrange your team's training

Get your CPD points today