Client engagement skills (fpc007b) assignment 1


Read the information provided in Topic 1, as well as the required readings and additional resources.

This assignment is designed to help you identify a key business problem that can be elaborated using concepts in behavioural finance. It is set out in two (2) parts.

Part 1 — The interview

Using the feedback provided to you from your tutor in the forum, finalise your chosen problem from Task 1. Undertake two (2) interviews using the list of open-ended interview questions provided in ‘Appendix A’ to help you research the problem events (e.g. causes) and problem consequences (e.g. effects).

Interview at least one (1) financial adviser and one (1) client service person (in a client-facing role) in a financial planning environment for responses to the open-ended questions. If you are an adviser, you may choose to answer your own questions for one of the required interviews, however, you must still conduct a second interview on another colleague who is also an adviser or someone in a client-facing role.

Regardless of whether you are an experienced adviser or do not have any experience, it is important that you have two (2) sets of interview questions completed and include those completed questionnaires as appendices in your assignment.

‘Appendix A’ outlines the open-ended interview questions required for your two (2) interviews. Include the interview responses to the questions as appendices to your own completed assignment. The responses are not included in the 2,000 word limit.

‘Appendix A’ also includes a reflection template. This is simply a tool to help you analyse and prepare for part 2 of this assignment. You are not required to include this in your submission as the analysis you record in the reflection will be included in part 2 of your assignment.

It is essential that you relate the issues identified to how your business/employer could facilitate a better outcome for you and the client.

You should send the questions to the interviewee prior to the interview so they can prepare.

Note: If you do not have access to a financial adviser, please let your tutor know.

Part 2 — Critical analysis 

Write a critical analysis with specific analyses of the interview responses. As a guide, the analyses should discuss the following points:

• interviewees’ opinions regarding the similarities and differences in the problem event and consequences that you identified

• the strengths and weaknesses of interview comments, basing your assessment directly on the concepts of behavioural finance

• your reasoning that supports recommendations on how to better manage the problem. Specify why you would accept, partially accept or reject your interviewees’ comments when you formulate your recommendations.

Ensure that you relate these experiences to the theories/concepts and ideas outlined in your literature research and reference them accordingly. You must explain your opinions with concepts learned in Topic 1.

Include interview questions and answers in your appendices and cross reference them within your answer.

Refer to the marking guidance as a guide to how you should structure your analysis.

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