Compliance, Audit, and Governance Strategies

For over 20 years, we’ve been working with clients to ensure seamless transition and compliance with retirement benefits and services. Trust our team to prepare and review all required government filings, including:

  • Form 5558 request for extension;
  • Form 5500 for both the defined benefit and defined contribution plans with schedules A, SB, C, D, H, R, and T and IRS Form 8955-SSA, if applicable;
  • PBGC premium filings;
  • ERISA 4010 filings;
  • ERISA 4062(e) filings;
  • Reportable event filings and other necessary filings with the PBGC.

We conduct and assist with all audits and review to ensure all plans are being properly administered and are in compliance. This includes:

  • Assisting auditor with written confirmation of all needed information for annual audit;
  • Auditing all needed and appropriate consulting, vendor and other (e.g. Social Security Administration) information, for accuracy, reasonableness and consistency;
  • Conduct or review all needed Discrimination testing as outlined under 401(a)(4), 410(b), 401(k) and 401(m);
  • Prepare or review applicable determination filings as preformed on Form 5300;
  • Voluntary Compliance Audits;
  • Independent actuarial audits of current actuarial work;
  • Review and update plan documents, plan amendments, board resolutions and Summary Plan Descriptions.

As a part of your team, we strive to make the audit and review process as easy and efficient as possible.