Global

Investment advice: Client risk profiling and suitability

A ready-made course you customise for your organisation, with a live session deck and two surveys. You only add the 11 details that are specific to your organisation.

See the live deckSee the full outline
Try the coursePreview the survey
Length
40 min
Lessons
6 lessons
Frequency
At onboarding for advisory roles
Last reviewed
21 Oct 2026
Grey areas
What would you do?

A client wants a high-risk fund for money needed soon

Try it: this is one of 20 interactive activities in the course.

What's included

Three pieces that work together

Copy once, get everything. Learners prepare on their own, you answer questions live, and the surveys tell you what stuck.

Self-paced course

Short lessons with real workplace scenarios, not walls of text.

  • 6 lessons, about 40 minutes
  • Sorting activity, scenario, flashcards, tabs and quizzes

Live session deck

An AhaSlides presentation to run after the course, in person or online.

  • 10 slides
  • Quiz, word cloud, poll, scale slides
  • A closing slide for your contacts

Two surveys

Find out what landed, and whether people use it on the job.

  • Post-course feedback, about 2 minutes
  • 30-day check-in
  • Anonymous by default
  • Results feed your next refresher

Learning objectives

At the end of this course, learners can

Each objective and the lesson that covers it.

IDObjectiveSourceWhere it's covered
TO 159.0Achieve ≥ 80% on the final assessmentnoneWhole course
SO 159.1Run a client discovery conversation that captures goals, time horizon, capacity for loss and attitude to risk + your infoExample: suitability rules in the customer's market; best practiceWhole course
SO 159.2Match a client profile to an asset mix at a broad level and explain whyBest practiceWhole course
SO 159.3Decide whether a recommendation is suitable, and record the reasons + your infoExample: suitability and appropriateness rules in the customer's marketWhole course
SO 159.4Explain fees, costs and risk in plain words before the client decides + your infoExample: cost and charges disclosure rules in the customer's marketWhole course
SO 159.5Recognise complex or high-risk products that need extra checks or should not be recommendedBest practiceWhole course

Your part: what a template can't do for you

  • Your workplace details: fill in the 11 highlighted fields so the course describes your own policies, contacts and locations.
  • Records: record completion in your own LMS or record system.

Course outline

6 lessons, about 40 minutes

Minutes per lesson are an estimate, shared out by page count.

ContentInteractiveVideoYou customise
1

Why suitability matters

3 pages

7 min
Before you beginNoteList
A first meetingTextImageChecklist
What suitable meansKey factFlashcardsQuiz
2

Know your client and their risk profile

3 pages

7 min
Four things to learnTabsNote
Order the conversationSorting activityText
Profile to portfolioFlashcardsMatching quiz
3

Testing suitability

3 pages

7 min
A decision routineProcessYour info
Is this suitable?Sorting activity
CheckChecklistQuiz
4

Grey areas

3 pages

7 min
ScenarioScenario
ScenarioScenarioQuiz
Complex productsMatching quizSorting activity
5

Explain, record and speak up

3 pages

7 min
Fees and risk in plain wordsAccordionNote
What a good record looks likeTabsChecklist
Who to tellProcessYour infoYour infoYour infoScenarioQuizButtonYour info
6

Final assessment

2 pages

5 min
PracticeQuiz
CompletionKey factListNoteButtonYour info

Live deck and surveys

10 slides to run live, two surveys to close the loop

Pink slides are interactive. Both surveys are anonymous; pink questions are written for this course.

ContentTitle, agenda, "suitable means right for this client" (speaker notes: template page URL)
Word cloudOne word for a client you want to protect
PollWhere is suitability hardest? (Honest risk answers · Explaining fees · Complex products · Pressure to sell)
ContentThe four things to learn about a client and the six-step suitability routine
QuizA client wants a high-risk fund for money needed in a year. You…" (Explain the gap and advise on the lower risk ✔ · Go ahead · Change the profile · Avoid the topic)
QuizCapacity for loss is…" (How much loss they can bear ✔ · How much they like risk · Their salary · Their loyalty)
Content · customiseCustomise: our discovery form, product list and disclosure wording" with {{SUITABILITY_PROCESS_LINK}}, {{APPROVED_PRODUCT_LIST}}, {{POLICY_LINK}}
ScaleHow confident are you explaining risk to a client in plain words?" 1 to 5
Open-ended / Q&AA client situation I would like to talk through
Content · customiseClosing {{COMPLIANCE_CONTACT}}, {{SURVEY_2_URL}}, {{COURSE_URL}}
Post-course feedback: 11 questions, about 2 min
  1. Overall rating 5 stars
  2. Relevant, realistic, right length, helpful activities agree/disagree grid
  3. What was most useful? multi-select
  4. Confidence before this course, and now 1-5 scale
  5. How confident are you explaining risk in plain words? 1-5 scale
  6. Which change have you tried? multiple choice
  7. What barrier have you met in trying it? short text
  8. I can turn down a sale that is not suitable without fear of blame. 1-5 scale
  9. One thing we should change or add open text
  10. Would you recommend this course? NPS
30-day check-in
  1. Have you used what you learned since the course? multiple choice
  2. How confident are you today? Compare with day 1 1-5 scale
  3. Do you know where to find the suitability process? yes / no / not sure
  4. A moment where the training helped, or where you weren't sure open text
  5. Which topics should the next refresher focus on? ranking

Results show whether people use the training on the job, not just whether they finished it.

Make it yours

11 fields to fill in, and you're ready

Everything else is done. These are the details only your organisation knows; each one is highlighted inside the course.

  • Compliance contact{{COMPLIANCE_CONTACT}}
  • Policy link{{POLICY_LINK}}
  • Speak up route{{SPEAK_UP_ROUTE}}
  • Jurisdiction and regulator{{JURISDICTION_AND_REGULATOR}}
  • Approved product list{{APPROVED_PRODUCT_LIST}}
  • Suitability process link{{SUITABILITY_PROCESS_LINK}}
Show all 11 fields
  • LMS or record system{{LMS_OR_RECORD_SYSTEM}}
  • Survey 1 URL{{SURVEY_1_URL}}
  • Survey 2 URL{{SURVEY_2_URL}}
  • Course URL{{COURSE_URL}}
  • Live session URL{{LIVE_SESSION_URL}}

FAQ

Common questions

Can I run investment advice: Client risk profiling and suitability training online?

Yes. The course is self-paced and online, and the live deck lets you add a live session in the room or online.

How often is this training needed?

At onboarding for advisory roles, and yearly or when the product range changes.

Who needs this training?

Private bankers, relationship managers, financial planners and fund-distribution and client-service staff; run by the wealth-management learning team or compliance owner.

What records should I keep?

Record completion in your own LMS or record system, so you can show who finished the course and when.

Can I edit the content?

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply.

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Ready to run it?

Open the live deck to see how the session runs alongside the course and both surveys.

See the live deck