Skip to content

Financial Advisory Management Level 4 Course

Final Exam and Certificate Emailed on Completion Included

Oplex Careers


£249.99 inc VAT
Or £83.33/mo. for 3 months...
Study method
Online, self-paced
12 months
No formal qualification
7 CPD hours / points
Additional info
  • Exam(s) / assessment(s) is included in price
  • Tutor is available to students

113 students purchased this course

Add to basket or enquire


The online Financial Advisory Management Level 4 Course from Oplex Careers aims to provide a deeper understanding in the skills essential for an effective financial advice management discussing types of investors, advisory skills and more.


7 CPD hours / points
Accredited by The CPD Certification Service

Course media


Course Description

The online Financial Advisory Management Level 4 Course will provide learners with a further insight and deeper understanding into financial advice and the skills required for effective management in this field. This course will discuss financial advice, how to assess client’s situations, types of investors and more. This course will provide a great insight into working with clients using practical examples throughout the course. Whether working in this field already, you want to get started working in financial advice, or just interested in this field of study, this course will cover a range of modules and provide multiple examples for assessment.

Course Syllabus

The Financial Advisory Management Level 4 Course is split into the following modules:

    • Introduction to Financial Advisory Management

• The Need for Financial Advisory
• Role of a Financial Advisor
• Developing the Next Generation of Financial Advisors
• Challenges and Opportunities in Financial Advisory

    • Investor Characteristics

• Types and Characteristics of Investors
• Comparing Different Types of Investors
• Obligations of a Firm Towards Retail Clients
• Needs and Retail Clients and Their Prioritisation

    • Understanding Client’s Financial Objectives

• Financial Planning
• Client’s Financial Objectives
• Importance of Establishing the Client’s Objectives
• Prioritising Objectives to Accommodate a Client’s Affordability

    • Assessing Client’s Circumstances

• Importance of Circumstance
• Circumstances of Clients
• Circumstances and Financial Needs
• The Fact-Finding Process
• Factors Shaping a Client’s Circumstances

    • Examining Attitudes to Risk

• Risk Profile
• Types of Risk in Financial Planning
• Investment Risks
• Role of Diversification in Mitigating Risk
• Factors Affecting Client’s Risk Profile
• Methods to Determine Client’s Risk Profile

    • Client Advisory and Recommendations

• Advice and Recommendations
• Importance of Asset Allocation
• Key Role of Charges and Financial Stability
• Importance of Standing of Trustees, Fund Custodians, and Auditors
• Benchmarks and Other Performance Measures
• Importance of Reviews

    • Financial Advisory Skills

• Skills in Financial Advisory
• Importance of Skills for a Financial Advisor
• Types of Skills Necessary for Financial Advisors
• Professional Skills
• Advantages of Effective Skills
• Disadvantages of Ineffective Skills

  • Final Assessment


To assess the learners ability and knowledge to effectively understand the topics contained within the Financial Advisory Management Level 4 Course, the course features a number of end of module interactive quiz questions.

Additionally, at the end of the course learners will also take an online multiple choice assessment test. This online multiple choice test is marked automatically so you will receive an instant grade and know whether you have passed the course.


On successful completion of this Financial Advisory Management Level 4 Course. This certificate will be produced in PDF format, hard copies of the certificate will be available at an additional fee of £9.99.

Course Format

This course is delivered online through eLearning. Learners of the course will receive instant access to our interactive student learning portal, which offers 24/7 access to the Financial Advisory Management Level 4 Course.

Course Duration

The online Financial Advisory Management Level 4 Course requires 70 hours to complete the course in full. This is only a guide to the learning hours required and it depends on how quickly an individual can absorb the information. The learning is online so it can be spread out over multiple sessions or done in one session.

Learners will have access to this course for up to 12 months from the date of joining. There is no time limit to complete the course during this period.

Tutor Support

When you are studying a course it is always useful to know that you have the help and support of tutors that want you to succeed in your studies.

As part of the Financial Advisory Management Level 4 Course you will receive access to our dedicated tutor support service. The academic tutors will be able to provide you with unlimited online email support to help answer any questions that you may have whilst you are studying the course.

Course Compatibility

Our Financial Advisory Management Level 4 Course is fully compatible with PC’s, Mac’s, Laptop, Tablet and Smartphone devices.

We know that more and more people are using the web whilst they are on the move, so we have designed this Financial Advisory Management Level 4 Course to be fully compatible across tablet and smartphone devices. You will be able to access the same content from the course, just over a 3G or 4G network whilst on the move.

Questions and answers

No questions or answers found containing ''.

Cohenpol asked:

I've read many answers to similar questions that you just haven't answered. Please can you confirm the Lvl3 and this Lvl4 is all you need for IFA?


This course is CPD Accredited. This is not equivalent to a formal qualification.

This was helpful. Thank you for your feedback.

Iain asked:

Does this course mean that you are a fully qualified financial advisor?


This course is CPD Accredited which is training related to professional development - this is different to being a qualified financial advisor. Instead many of our students use this course and certificate to support job applications and to help them move forward into further training.

This was helpful. Thank you for your feedback.

Masi asked:

What job tittle can you apply for once you have completed the level 4 qualification?


This course is CPD Accredited which is training related to professional development and is recognised by schools and employers across the UK. While the course itself does not guarantee one particular job, many of our learners use this course and certificate to support job applications as well as helping them move into further training required by their employer.

This was helpful. Thank you for your feedback.

GM asked:

What if one fails the multiple questions or the assessment?


Hello, Thanks for your question. If you fail your final assessment you can retake it. We do not have a limit on how many times you can retake the final assessment. There is no additional fee for this.

This was helpful. Thank you for your feedback.

Louise asked:

I am already a CeMap qualigied mortgage advisor. I am interested in learning more about investments/ savings/ pensions etc. Would you recommend this?


Yes this will certainly help. This course is aimed at beginners or those already in the field wanting to update their existing skills. The Financial Advisory Management Course will teach practical skills that you could then use to support your CV and job applications.

This was helpful. Thank you for your feedback.

Mohammed asked:

I want to know about one qualification which would be enough to become financial advisor?


This course is CPD Accredited which is training related to a formal qualification. This is different to a formal qualification although you can use this course and certificate to support your CV and help you move on into further training that may be required by your existing or future employer.

This was helpful. Thank you for your feedback.

Sheree asked:

Do i need to complete course 3 to do course 4


Hi there, No need to complete the level 3 beforehand; if you have prior skills and/or experience in the field, or just feel confident to do so, you are welcome to register straight onto our Level 4. Hope this helps

This was helpful. Thank you for your feedback.


Course rating
Leave a review

{{ getTruncatedSinglePointScore(item.OverallCourseRating) }} Star Review by {{ item.ReviewerName }} for {{ item.Title }}

{{ getLongDate(item.CreatedOn) }}
{{ item.Title }}
Reviewed by {{ item.ReviewerName }}
|Purchased {{ getHumanisedPassageOftime(item.PurchasedOn) }}
{{ item.ProviderName }} responded to this review
{{ getLongDate(item.ProviderResponseDate) }}
{{ results.length }} out of {{ totalResultsCount }} reviews


What does study method mean?

Study method describes the format in which the course will be delivered. At courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

What are CPD hours/points?

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on, many of which can be completed online.

What is a ‘regulated qualification’?

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

What is an ‘endorsed’ course?

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body’s logo if they wish. Certain awarding bodies - such as Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.