Learn why a 401(k) audit is important and how it can be performed efficiently by all involved parties.
Most 401(k) plans must comply with the financial audit requirements of the Employee Retirement Income Security Act (ERISA) and any 401(k) plan can be subject to a compliance audit by the Department of Labor or Internal Revenue Service. This presentation will provide attendees with information on the differences between financial and compliance audits, including the objectives and outcomes of each. The live webinar will discuss the specific requirements of an ERISA financial audit, including the major audit steps and tests performed, and will prepare attendees to effectively interface with independent auditors during the financial audit process. Additionally, the workshop will provide information on DOL and IRS compliance audit procedures, address common compliance audit triggers, and discuss effectively working with the DOL or IRS during a compliance audit.
Agenda
Faculty
Kelly Haab-Tallitsch
Amundsen Davis, LLC
- Partner at Amundsen Davis, LLC
- Regularly counsel’s clients on employee benefit compliance, helping employers understand their obligations under the Affordable Care Act, ERISA, and the Internal Revenue Code
- Advises employers on health and welfare plans, wellness programs, qualified and non-qualified retirement plans, employee stock ownership plans (ESOPs), deferred compensation, equity plans and employee benefit issues arising out of mergers and acquisitions
- Defends clients against general employment discrimination claims and handles matters such as Department of Labor benefit plan audits and correcting plan errors through the Department of Labor and Internal Revenue Service voluntary correction programs
- Frequently speaks at professional conferences and webinars on labor and employment law, employee benefits, and business management strategies
- J.D. degree, Northern Illinois University College of Law; M.S. degree in industrial relations, Loyola University Chicago; B.S. degree, University of Illinois at Urbana-Champaign
- Can be contacted at 630-587-7927 or at [email protected]
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