Graduate Certificate of Stockbroking and Financial Advising

Developed jointly by the Stockbrokers And Financial Advisers Association (SAFAA) and Western Sydney University’s highly regarded Sydney Graduate School of Management (SGSM), the Master of Stockbroking and Financial Advising is set to become the benchmark qualification that employers, regulators and clients expect from practitioners who work in the stockbroking and financial advisory industry. Along with membership of SAFAA, a Graduate Certificate, Graduate Diploma or Master of Stockbroking and Financial Advising will be the imprimatur that provides clients with the highest degree of confidence about their stockbroker or financial adviser.

Our graduates have a broad understanding of the finance and investment sector and the rules, regulations and products that are integral to the stockbroking and financial advisory industry.

This qualification also provides new entrants with the foundational tools necessary for competent and ethical entry-level performance in the industry.

How it works

Candidates may choose to begin their studies at the Graduate Certificate level (4 units) and continue studying a further four units (total 8) to receive the Graduate Diploma of Stockbroking and Financial Advising, and then another 4 units (total 12) to receive the Master of Stockbroking and Financial Advising.

Alternatively, candidates can enrol in the Master of Stockbroking and Financial Advising which is made up of twelve (12) units.  They may exit at four (4) units with a Graduate Certificate of Stockbroking and Financial Advising, or may continue studying a further four units (total 8) to receive the Graduate Diploma of Stockbroking and Financial Advising.

Admission requirments

Applicants must have:
Successfully completed an undergraduate degree, or higher qualification, in business;

OR

have a minimum of 3 years full time equivalent managerial/professional work experience in the stockbroking/financial advising industry.

SAFAA Accelerator Program

WSU is offering experienced advisers the opportunity to absent themselves from the unit course work and only undertake the assessment to demonstrate mastery of content in two of the program units (1. Financial Adviser Communication Skills; 2. Financial Products and Markets).

The SAFAA Accelerator Program involves the candidates sitting ‘Challenge Exam’ assesement/s. Interested candidates attend a two (2) hour information session on what is involved in sitting the Challenge Exam Assesement. Challenge Exams are typically three (3) hours in duration and will be held on published day/times in approved venues.

Eligibility for candidates to sit Challenge Exams requires 3-5 years of experience in the financial services industry, and candidates must seek permission to enrol in the Challenge Exams from a nominated Academic Adviser (at WSU). The cost is reduced to $995 per unit, and upon successful completion of the assessment the candidate will received a grade in the unit.

Graduate Certificate

4 units = 40 credit points (4 units x 10 credit points)

Choose 4 units from the following:

  • Financial Products and Markets
  • Financial Adviser Communication Skills
  • Corporate Finance
  • Funds Management and Portfolio Selection
  • Commercial Law
  • Principles of Taxation

Graduate Diploma

8 units = 80 credit points (8 units x 10 credits)

Choose 8 units from the following:

  • Financial Products and Markets
  • Financial Adviser Communication Skills
  • Corporate Finance
  • Funds Management and Portfolio Selection
  • Commercial Law
  • Principles of Taxation
  • Superannuation
  • Insurance and Risk Management
  • Estate Planning

Master

12 units = 120 credit points (12 units x 10 credit points)

Choose 12 units from the following:

  • Financial Products and Markets
  • Financial Adviser Communication Skills
  • Corporate Finance
  • Funds Management and Portfolio Selection
  • Commercial Law
  • Principles of Taxation
  • Superannuation
  • Insurance and Risk Management
  • Estate Planning
  • Contemporary Issues in Taxation
  • Derivatives
  • Security Analysis and Portfolio Theory
  • Statement of Financial Advice Research Project

Denotes compulsory subject
Denotes SAFAA Accelerator Program (Challenge Exams)

To find out more information about the Master of Stockbroking and Financial Advising you can visit WSU website: https://www.westernsydney.edu.au/future/study/courses/postgraduate/master-of-stockbroking-and-financial-advising

OR

Contact the Stockbrokers And Financial Advisers Association in the first instance on 02 8080 3200 or email education@stockbrokers.org.au