Outcomes Monitoring – A Good Practice Guide
MoreCall: 0845 139 4444
Email: hello@square4.com
Call: 0845 139 4444
Email: hello@square4.com
The retail investments and pensions sector is at the centre of the FCA’s focus. The regulator has set out the important role the sector plays in helping consumers manage, buy, and safeguard their assets to meet their financial goals. The sector provides critical support to consumers in periods of economic uncertainty and holds a crucial role in enabling consumers and the UK as a whole to meet their sustainability objectives.
Square 4 works across all areas of the distribution chain, including product manufacturers, investment managers, financial advisers, and platforms. This includes firms with specialist permissions such as to provide pension transfer or discretionary investment services. The top issues currently facing the sector where Square 4 support include:
• Consumer Duty
• Advice suitability
• ESG and SDR
• Proposition development and migration
• Governance, MI and reporting
• Client Assets
• Regulatory due diligence
• Complaints – RCA and operational effectiveness reviews
• Remediation and redress
• Later life lending
At Square 4 Partners, we are more than just a consultancy – we are a collective force of accomplished experts, dedicated to advancing and transforming the retail investments & pensions sector.
With decades of experience across roles at the FCA, in-house compliance functions, and a variety of consultancy firms, our teams really have ‘been there and done it’. We harness in-depth knowledge and understanding of the regulatory and operational challenges facing firms to develop and implement practical solutions specific to each firms’ business model.
Advisory
Square 4 Partners' advisory services are the bedrock of our reputation. Whether it's navigating complex regulatory changes, optimising operational efficiency or strengthening your control environment, our experts deliver customised advisory solutions to drive growth, resilience, and success. With the FCA seeking competition and innovation while protecting the interests of consumers, manufacturers, distributors and service providers must work collaboratively to meet these objectives, and for good customer outcomes to truly be achieved throughout the distribution chain.
Resourcing
Our resourcing solutions are tailored to the unique needs of financial institutions. We understand that the right talent can make all the difference. Our flexible resourcing model can support your in-house teams in critical areas such as advice suitability checking (including DB transfers), complaint handlers, outcomes testers, KYC checking, paraplanning and general remediation. Our extensive network enables us to source and place top-tier professionals who align perfectly with your organisational requirements, ensuring that your team is equipped to excel.
Recruitment
Our recruitment services go beyond just matching skillsets – we match cultural fit and vision, ensuring that the professionals we place become valuable, long-term assets to your team. Our rigorous recruitment process is underpinned by our extensive industry knowledge, resulting in placements that have a lasting impact.
Learning and Development
Square 4 Partners' learning and development programs are designed to equip your staff with the knowledge and skills necessary to stay ahead. Our customised training modules, crafted by industry experts, empower your team to adapt to emerging trends and navigate the challenges of the modern financial landscape.
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