Client Engagement Skills

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Client Engagement Skills

Financial planning behaviour interview questionnaire template

Interview outcomes

The student is required to interview an experienced financial planning professional for the purposes of analysing investor behaviour types and characteristics. In interviewing the financial planning professional, the student needs to delve deeply into a real-life client scenario, asking specific questions relating to the client’s background, problem, behaviours and other issues; how the adviser, other staff and business in general dealt with this situation; and what improvements were implemented to ensure that the situation did not arise again.

This template is to be used for the express purpose of students interviewing financial planning professionals and recording answers from the interview, and outlining their own thinking, analysis and research to support their assignment. Client Engagement Skills

Note: Ensure you have thoroughly read the requirements in Assignment 1 before undertaking the interview. This interview must relate to the key business problem that you identified in your
Task 1 forum submission and peer review.

Attended by:  
Date:   Time:  
Questions Answers and notes
1.         Client background/history

Can you provide the background on the client’s situation (back story) and how it led to this situation?

2.         Outline of the situation

Can you outline the client’s problem, issue or complaint that has arisen with yourself or your firm?

Who was involved?

3.         Client behaviour

Can you describe the client’s behaviour throughout the situation?

4.         Your own and other employees’ behaviours

How did you feel during this situation?

Can you describe your own and other staff’s behaviour/reactions?

5.         Root cause

What do you believe is the root cause of the problem?

6.         Impact

What was the impact on the client from a perception, emotional and financial perspective?

7.         Action

What would you have done differently?

8.         Changes

What changes to staff training, back office/business processes, client service standards and/or job roles have been undertaken to reduce the chance of it re-occurring?

9.         Current position

Based on the changes put in place, what is different now?

10.          Client outcomes

How do the changes improve client outcomes?

11.          Staff outcomes

How do the changes improve the employees’ work environment?

12.          The adviser

How do you feel about the way forward now?




Your reflection

Record your notes and thoughts below. You are not required to submit the below reflection. This is a tool to assist you analyse and prepare for your assignment. You must however submit the completed questionnaire above for your two interviews.

What are your thoughts in relation to the problem?


What would you have done differently?


Analyse the client’s behaviour in the situation and relate this to the concepts/theory.


Analyse the adviser’s behaviour in the situation and relate this to the concepts/theory.


Do you believe that the business has gone far enough to improve the situation?


What else do they need to do to ensure that the adviser meets their client’s expectations?


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