Financial Services Professional Registered Apprenticeship Training Program
This training program is for the comprehensive Financial Services Professional Registered Apprenticeship. Other ETPL postings are available for components of the same Registered Apprenticeship for those individuals who may need to achieve the Registered Apprenticeship via a different path.
Prospect for business.
A. Create ideal client profile.
B. Identify target markets.
C. Create a marketing plan.
D. Create language scripts.
E. Execute marketing plan.
F. Set client appointment.
G. Monitor marketing plan.
Convert prospects to clients.
A. Engage client.
B. Conduct fact finding.
C. Build risk strategy.
D. Build securities strategy.
E. Build benefits strategy.
F. Present risk recommendations.
G. Present securities recommendations.
H. Present benefits recommendations.
I. Revise recommendations based on client feedback.
J. Complete the application process.
K. Record client history after each interaction.
Manage client relationships.
A. Forecast open and closed clients.
B. Initiate routine client service needs.
C. Respond to client services needs.
Maintain ongoing professional development.
A. Identify industry trends and best practices.
B. Attend specific training.
C. Maintain licensing requirements.
Maintain compliance documentation.
A. Submit compliance report and trade blotters.
B. Maintain checks and security logs.
C. Maintain gift and entertainment logs.
D. Maintain advertising log.
E. Maintain marketing log.
F. Maintain correspondence log.
General employment related competencies:
i. Client Service Orientation
ii. Structure: Order & Quality
iv.. Achievement Orientation
v. Conceptual Thinking
Completion of this program leads to
Certificate: Upon successful completion of the (F.A.) program awards the student the Achievement Certificate.