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Investment Due Diligence & Monitoring

Once we help you select a plan provider, we establish a due diligence process to help you plan and document fiduciary control activities and responsibilities. Market volatility makes it critical for retirement plan sponsors and fiduciaries to develop and maintain investment due diligence procedures and supporting documentation. We work with your retirement plan committee to develop and maintain the plan's investment strategy.

·      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 & 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 and Request for Proposal

·      Ability to serve as ERISA 3(21) and 3(38) Fiduciary

·      Investment Policy Statement (IPS) development

·      Consultation on investment structure 

·      Consultation on investment allocation and options

·      Target Date Portfolios - analysis, selection and review

·      Initial Manager screening, analysis and selection

·      New investment manager search

·      Ongoing reporting and monitoring

·      Internal investment committee/fi360 screens

·      Ongoing watch list process

·      Regular investment committee meetings

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