Windes provides ERISA audit resources to help plan sponsors understand their obligations, navigate the audit process, and maintain compliance with Department of Labor requirements. Our resource library covers employee benefit plan audit requirements, 401(k) audit timelines, Form 5500 filing guidance, and common audit issues.
Plan sponsors are often surprised by the complexity of the ERISA audit process, particularly when it is their first engagement with an independent auditor. Windes helps HR leaders, finance teams, and plan administrators understand what to expect and how to prepare documentation, coordinate with recordkeepers, and meet filing deadlines.
These resources are provided as a service to plan sponsors and are regularly updated to reflect changes in DOL guidance, audit standards, and benefit plan regulations.
Your Windes ERISA team will provide you with the latest developments within the employee benefits arena and the resources you need to make informed decisions and operate successfully.
- 401(k) Audit Preparation Checklist
- 401(k) FAQs
- 401(k) Plans 2019
- 403(b) Guidelines 2019
- AICPA Employee Benefit Plan Audit Quality Center Planning Tool: Summary of Common EBP Audit Deficiencies, Audit Guidance and Resources
- Annual Fiduciary Checklist
- Fiduciary Calendar
- Fiduciary Committee Goals
- Fiduciary Committee Meeting Minutes
- Fiduciary Committee Meeting Topics of Interest
- Fiduciary Compliance Checklist
- Fiduciary Responsibilities
- Pension Plans 2019
- Profit Sharing 2019
- Qualified Plan and IRA Limits 2012-2020
- Record Retention Guidelines
- Retaining and Protecting Employee Benefit Plan Records
- Retirement Plan Compliance Calendar
- Selecting an Auditor for Your Employee Benefit Plan
- When Does a Retirement Plan Require an Audit?
Frequently Asked Questions
An ERISA audit is an independent examination of your employee benefit plan’s financial statements, required under the Employee Retirement Income Security Act once your plan reaches 100 or more eligible participants. If you’ve crossed that threshold, this audit becomes part of your annual Form 5500 filing, not an optional add-on.
Staying compliant means keeping your plan documents accurate and up to date, filing Form 5500 every year, bringing in an independent auditor once your plan requires it, and administering contributions and distributions according to your plan’s actual terms. It’s easy for one of these to slip, especially around plan document updates, so it’s worth reviewing your compliance checklist annually rather than only thinking about it at filing time.
Our resource pages walk through the practical side of ERISA audit requirements, and our employee benefit plan audit team is available if you have questions specific to your plan. If you’re not sure whether something applies to your situation, it’s usually faster to just ask than to try to piece it together from general guidance.
