Senior Professional Assessment 3 (Broking Compliance Managers)
- Sector: Insurance Broking
- ASIC accreditation: Responsible Manager
- NIBA College membership: Fellow
- Pre-requisite: Diploma level competencies - talk to NIBA College for more details
- Award: Advanced Diploma of Financial Services
This assessment is specifically for experienced compliance managers in a broking business
- Skills related to interpreting and managing statutory, legislative and regulatory obligations for organisational compliance specifically as these relate to insurance broking.
- Skills related to developing, implement and monitoring compliance systems, managing staff training function and financial systems within the brokerage.
- Skills related to developing broking service guidelines and implementing quality systems within the broking firm.
- Skills related to reviewing compliance systems and service support system for broking services.
Find out details of the optional Tier 1 Adviser assessments that can be added on to this assessment for one or more of the following product areas:
Click here to enrol in this program
Course Fees
Terms of Study
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