401(k) Audits Without the Headache
How We Can Help
We help you maintain compliance and gain peace of mind through reliable, technology-backed audits that protect your business and participants.
Quality & Cost-Effective
We deliver thorough, accurate audits designed to maximize insight and client value.
Reduced Client Time & Energy
We work on your schedule with fewer document requests, fast turnaround, and a streamlined audit calendar.
Experienced Team
Our specialists know employee benefit plans inside and out. We’ll guide you through every compliance point.
Our Audit Team
Expert Solutions for Employee Benefit Plan Audits
- Audits for all types of employee benefit plans (401(k), 403(b), ESOP, Defined Benefit, etc.)
- Initial audits, final audits, and audits for short-plan years (including combining first-year audits)
- Resolution of complex compliance issues identified during the audit
- Assistance with prohibited transaction issues, IRS & Department of Labor (DOL) inquiries
- Recommendations to improve plan administration and internal controls
Does My Plan Need an Audit?
If your plan has 100 participant balances as of the first day of the year you might need an audit.
Our Audit Process
Step 1 – Consultation
We discuss your plan, what you’ve already done, deadlines, and any concerns.
Step 2 – Kick Off Call
We establish the audit timeline with milestones, assign roles, and align expectations.
Step 3 – Audit Process
Regular check-ins, prompt responses, and transparent progress updates. No unnecessary site visits.
Step 4 – Report Results
Deliverables by your deadline, review of findings, discussion of issues, and recommendations for improvement.
Free Downloadable Checklist
Is this your first year needing an 401(k) audit or had a bad experience with another firm? Our checklist and calendar will ensure you have a smooth sailing audit process.
