Induction Checklist Form - MSMLM
Staff member _____________________________________________________________
Date Started ____ / ____ / ____ Employer ___________________________________
The purpose of this checklist is to help you learn about and become part of our business. It is designed to provide you with important information which will assist your adjustment to a new environment.
PRIOR TO COMMENCEMENT
Documentation confirming Tier 1/Tier 2 (Mandatory)
ASIC Banned Register Check ()
Proof of entitlement to work in Australia (Passport/Visa)
Bankruptcy Check (you can email MSM to conduct check)
Reference Checks Reference Guide , Consent Form , Direction Form
Staff Letter of Engagement signed (Staff Letter of Engagement Template)
Motor Vehicle Policy / Agreement signed (where applicable) and annual reminder set.
Agree hours of work, lunch breaks etc.
Follow up date set to review performance at end of probation
Advise all relevant staff of new staff member’s details and start date
FIRST DAY REQUIREMENTS
Update Organisation Chart (Mandatory)
Include staff member / AR on ASIC Adviser Register (if required)
Police Check – especially for staff involved in finance / payroll / payment / receipting functions
(Staff Policy and Procedures) (Police Check Application Form)
Training Needs Survey Form completed (If required) Training Needs Survey
Training Plan & Register (Mandatory) Word Plan Template or Excel Plan Template
Collect details/documents on all relevant prior training and include in Training Register
Appointment of Mentor
New Employee Details Form New Employee Details Form
Completion of Tax Deduction Form
Completion of Superannuation Form Superannuation Choice Form
Date of Birth documentation (Only for staff paid on an Age basis)
Photo Identification (Drivers Licence / Student ID Card etc)
Introduction to all staff in office
High level walk-through of Business Plan and Organisation Chart.
Explanation of Business Licence authorisations/limitations
Provide and discuss Job/Position Description (where applicable)
Discuss resignation notice, holiday leave, sick leave process, dress standards
Policy and Procedure (shared network folder) access
Staff Policy and Procedures introduction (Induction and Standards of Conduct focus)
Office filing /location / process and mail orientation.
Staff and other structured meeting times.
Telephone / Business Cards / Security Cards / Keys & office requisites.
Chair/ Telephone / Facsimile / Photocopier etc. introduction.
Introduce relevant fire exits, toilets, first aid facilities, lunch options, parking
Password to office computer systems, Internet etc provided, virus software
Provide Fair Work Information Statement (retain signed copy) Fair Work Information Statement
Provide Casual Employment Information Statement for new Casual Staff (retain signed copy) Casual Employment Information Statement
BY END OF FIRST WEEK
Email facilities provided; email groups set up/updated
Update / advise Customer / Internal Contact lists / Website references etc.
Privacy Policy introduction (Privacy Overview)
Insurance Brokers Code of Practice (Insurance Brokers Code of Practice Overview)
Gen. Ins. Code of Practice (Binder Staff) General Insurance Code of Practice 2020 Overview
Insurance Contracts Act / Competition and Consumer Act introduction.
Corporations Act Overview and Presentation
Introduction to Oral Disclosure Script (for advisory staff only)
Location and access to the Banking, Finance & Insurance Award 2020
(Banking Finance and Insurance Award 2020)
Location and the access to the National Employment Standards included in the Fair Work
Act Fair Work Act 2009
BY END OF FIRST MONTH
Broking Policy and Procedures introduction (If applicable)
Training Policy and Procedures introduction Training Overview
Information Technology Policy and Procedures
Compliance Policy and Procedures introduction (Compliance Overview)
Complaints Policy and Procedures introduction (Complaints Overview)
Workplace Health and Safety Policy and Procedures review
Risk Management Policy & Procedures introduction. Risk Management Overview
License / Authorised Representative Documentation reviewed
Product Research Policy and Procedures introduction (If applicable)
Conflict of Interest Policy & Procedures (Conflict of Interest Overview)
Expense/Capital Expenditure Processes and Authority
Outsourcing Policy and Procedures introduction (Outsourcing Overview)
Do Not Call Introduction Do Not Call Briefing Note
Anti Money Laundering Overview Anti Money Laundering Overview
Future of Financial Advice Overview Future of Financial Advice Overview
Financial Hardship Overview Financial Hardship Overview
AT COMPLETION OF INDUCTION PROCESS
Complete Induction Survey Form (Induction Survey Form)
STAFF SIGNATURE _______________________________________________________
This form is to be retained with the Staff Members Personnel file.
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