About Index Wealth

Index Wealth provides financial advice services with a focus on superannuation

investments, retirement planning and personal insurance advice, supporting clients

through a structured advice process from research and strategy through to advice

presentation, implementation and ongoing guidance.

Index Wealth is presently seeking Quality Auditors with a demonstrated

background in the financial planning industry to strengthen our advice delivery

quality assurance program, focusing on documentation accuracy, workflow controls,

and continuous improvement across our end-to-end advice support operations.

Key tasks and responsibilities

1. Audit and review existing workflows around advice delivery on client files,

including discovery documentation, strategy research support, Statements of

Advice (SOAs), Records of Advice (ROAs).

2. Assess the quality and consistency of advice documentation relating to

superannuation and investment recommendations, personal insurance

strategies and tax minimisation support

3. Review and verify that supporting evidence, file notes and records are

documented appropriately across all company related documents, identifying

departures from established procedures and standards.

4. Analyse operational workflows, templates, checklists and procedures across

advice support functions and propose consistent improvements.

5. Provide recommendations to improve internal compliance against industry

standards and advise management on risk control protocol gaps.

6. Support implementation of approved improvements by updating process

documentation, refining checklists and guidance materials

7. Provide coaching and feedback to team members to uplift documentation

quality, strengthen quality control practices and improve adherence to internal

processes.

8. Monitor corrective actions arising from audit findings, track remediation

progress, and conduct follow-up reviews to confirm effectiveness of

improvements.

9. Collaborate with leadership and cross-functional teams to document any

variations from established procedure to ensure Index Wealth’s compliance

under AFSL licensing obligations.

Qualifications and experience

10. Bachelor degree or higher qualification

11. Minimum 1 year experience in quality auditing, process improvement,

compliance review or a related role.

12. Strong analytical, report-writing and communication skills.

Desirable

13. Experience in financial services, wealth management or a regulated advisory

environment.

14. Familiarity with AFSL compliance obligations and ASIC regulatory

frameworks.

How to apply

Please submit your resume and a brief cover letter outlining your relevant experience

Job Type: Full-time

Pay: $95,000.00 – $105,000.00 per year

Work Location: In person