Plan Compliance Reviews & Project Work

We think it is critical as part of the new client onboarding process to conduct a plan compliance review and in depth document review. Both the IRS and the Department of Labor have stressed the importance of establishing strong internal controls so we believe this step is extremely important when we are first engaged by an organization. Clients have also relied on us for a variety of projects, including:

  • Investment Consulting/Oversight

  • Establish and educate committee

  • Committee charter guidance

  • Training on fiduciary duties

  • Resource to HR for administration and compliance

  • Agenda, minutes and documentation

  • Plan design consultation

  • Service provider selection process and consultation

  • Compliance monitoring

  • Fee disclosure and benchmarking

  • Service provider trouble shooting and interface

  • Legislative and regulatory updates and consultation

  • Qualified Default Investment Allocation (QDIA) monitoring

  • Request for information (RFI) and Request for Proposal (RFP) process management

  • Detailed plan administrative reviews

  • Comprehensive plan and fee benchmarking

  • Merger and acquisition analysis and assistance

  • Plan design optimization and analysis

  • IRS and DOL audit projects


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