Graduate Diploma of Stockbroking and Financial Advising

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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 requirements

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

Western Sydney University 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 six of the program units (1. Financial Adviser Communication Skills; 2. Financial Products and Markets; 3. Superanuation; 4. Planning for Retirement; 5. Funds Management and Portfolio Selection; 6. Derivatives).

The SAFAA Accelerator Program involves the candidates sitting a “Challenge Exam”. Interested candidates attend a two (2) hour information session on what is involved in sitting the Challenge Exam.

Challenge Exams are typically three (3) hours in duration and will be held on published day/times in approved venues. Candidates must seek permission to enrol in the Challenge Exams from a nominated Academic Adviser (at Western Sydney University). Upon successful completion of the assessment the candidate will receive a grade in the unit

Eligibility for candidates to sit Challenge Exams requires 3-5 years of experience in the financial services industry.  The cost is reduced to $795 per unit.

Course Structure

Qualification for the Graduate Diploma of Stockbroking and Financial Advising award requires the successful completion of 80 credit points.

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

Studying Full Time (1 year) Studying Part Time (1.5 years – year 1) Studying Part Time (1.5 years – year 2)
Quarter Subject Quarter Subject Quarter Subject
Quarter 1 session

200987 Financial Adviser Communication Skills

200869 Principle of Taxation

Quarter 1 session 200987 Financial Adviser Communication Skills Quarter 1 session 200870 Insurance and Risk Management
Quarter 2 session

200986 Financial Products and Markets

200432 Commercial Law

Quarter 2 session 200986 Financial Products and Markets Quarter 2 session 201038 Behavioural Finance
Quarter 3 session

200870 Insurance and Risk Management

200871 Planning for Retirement

Quarter 3 session 200869 Principle of Taxation Quarter 3 session 200871 Planning for Retirement
Quarter 4 session

201038 Behavioural Finance

200867 Superannuation

Quarter 4 session 200432 Commercial Law Quarter 4 session 200867 Superannuation

Advanced Standing

In the Graduate Diploma you can gain credit for up to two units from the FASEA approved professional designation program for 200987 – Financial Adviser Communication Skills or 200986 – Financial Products and Markets.

To find out more information about the Stockbroking and Financial Advising qualifications, please 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