Occupational Certificate: Financial Advisor NQF 6

Course Overview

The purpose of this qualification is to prepare a learner to operate as a financial advisor.

A financial advisor analyses the financial needs of clients and facilitates processes to implement solutions that will contribute towards the protection and growth of wealth for clients.

Module 1: Introduction to the Investment Advisory Industry
  • Overview of the investment advisory industry
  • Fundamentals of investments
Module 2: Principles of Providing Advice
  • Regulatory requirements for advising clients regarding insurance and investments
  • Principles of providing advice to clients regarding insurance, savings and retirement planning
  • Principles of providing advice to clients regarding investments
Module 3: Analysis and Evaluation of Investment Opportunities
  • Analyse clients long term wealth creation/protection needs
  • Evaluate available long term wealth creation/protection options
  • Research, analyse and conduct due-diligence of investment opportunities
Module 4: Retirement Funds and Employee Benefits
  • Principles of providing advice to clients regarding the use of employee and pension fund benefits
  • Analyse the client organisations needs relating to retirement funds and employee benefits
  • Evaluate the availability of various employee benefit and retirement fund options and structures
  • Advise client on the most appropriate structuring of retirement funds and employee benefits
  • Support the provisioning of advice to clients on employee benefits and retirement structures for a period of three to six months
Module 5: Health Care Benefits
  • Health care benefits advisory services
  • Analyse client needs regarding health care benefits
  • Provide advice on the introduction of health care benefit programmes
  • Participate in the processes of providing advice regarding the implementation of health care benefit programmes
Module 6: Facilitation and Implementation of Investment Decisions
  • Facilitate the implementation of agreed investment decisions
  • Recommend and implement the most appropriate wealth creation/protection options
  • Advise clients regarding potential investment opportunities
  • Participate in the processes of wealth creation
  • Participate in the processes of advising on investment decisions over a period of six months
  • Duration: 12 Months
  • Delivery: Classroom/Online/Blended
  • Communication at NQF Level 5

  • Mathematical Literacy at NQF Level 5

  • Financial Planner
  • Investment Advisor
  • Wealth Manager
  • Occupational Certificate –  Financial Advisor
  • Accreditation: QCTO
  • SAQA ID: 105026
  • NQF Level: 6

Please note there are part qualifications which need to be completed in order to qualify for the Financial Advisor qualification.

The Financial Advisor qualification is made of the following part qualifications:

1. Health Care Benefits Advisor NQF 5
2. Long Term Insurance Advisor NQF 6
3. Investment Advisor NQF 6
4. Employee and Pension Fund Benefits Advisor NQF 5

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