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Employee Benefit Plan Audits

Related Services: Audit & Assurance, SAS 70

When it comes to employee benefit plan audits, TravisWolff understands the complexity of ERISA and Department of Labor (DOL) requirements. That's why our team strives to make the auditing process as smooth as possible. With experience in plan sizes ranging from $300,000 to more than $100 million, our auditing capabilities include:
 

  • Defined Benefit Plans
  • Defined Contribution Plans
  • Health and Welfare Plans
  • Pensions
  • 401(k) Plans (including Employer Matching Plans)
  • Audit and Filing Requirements for 11-K, Full-scope, Limited-scope and Master Trusts
  • Profit Sharing
  • Savings Plans
  • We also have the capacity to audit 403(b) plans.*


We offer our clients added value by not only performing the audit, but also examining plan operations, developing recommendations for improvement, and reviewing compliance with plan documentation and DOL and Internal Revenue Service (IRS) regulations.

As a member of the AICPA Employee Benefit Plan Audit Quality Center, we stay up-to-date on changes in the employee benefit plan arena, including DOL and ERISA requirements. Our relationship with Compext - a TravisWolff group that provides compensation and benefits consulting, program and plan design and administration, and benefits education and communication - allows us to access even more industry knowledge. In addition, we are a registered firm with the Public Company Accounting Oversight Board (PCAOB).

Our track record gives our clients confidence and peace of mind. Our employee benefit plan audit engagements are subject to inspections and monitoring by the AICPA and PCAOB in their tri-annual peer reviews, as well as by the DOL. We have not received any comments on deficiencies or corrective findings from these independent reviews.

* Per DOL regulations, many previously unaudited 403(b) plans must now be audited. The audit requirements are not effective until plan years beginning on or after January 1, 2009.

Related Partner Bios: Michael D. Janick, Gary Wyatt
Related Manager Bios: Marianne Carter, Melissa Morgan