Our team is focused on ERISA audits. We have dedicated partners and staff who focus their practice on Employee Benefit Plan Audits. Our team is experienced in working with the key contacts at the client and outside service providers to facilitate an efficient and value-added quality audit. Our team serves clients in the following industries: automotive, construction, energy, hospitality and leisure, manufacturing, medical practices, nonprofit, professional services, real estate, retail and consumer products, technology and telecom, transportation, trade and maritime, and wholesale distribution.
ERISA Compliance and Employee Benefit Plan Audit Team
The Windes employee benefit plan audit team specializes in ERISA compliance and independent audits of 401(k) plans, defined benefit plans, health and welfare plans, and other retirement arrangements. Our team includes CPAs with extensive experience in ERISA requirements, DOL audit procedures, and the accounting standards that apply to benefit plan reporting.
Plan sponsors benefit from working with a dedicated team that understands benefit plan auditing deeply, not generalist CPAs who perform occasional plan audits. Windes maintains AICPA Employee Benefit Plan Audit Quality Center membership and stays current with evolving audit standards and DOL guidance.
Our team works closely with plan administrators, recordkeepers, trustees, and legal counsel to conduct efficient, thorough audits and help plan sponsors address any issues identified during the engagement.
Frequently Asked Questions
Windes is a member of the AICPA Employee Benefit Plan Audit Quality Center, a credential not every firm holds, and our team focuses specifically on ERISA requirements, DOL procedures, and the accounting standards unique to benefit plans. That specialization matters: a general audit team that only handles a plan audit occasionally isn’t going to have the same depth we bring to every engagement.
Yes. We audit 401(k) plans, defined benefit plans, health and welfare plans, and other retirement arrangements that fall under ERISA’s audit requirements. If you’re not sure whether your specific plan type needs an audit or which category it falls into, that’s a quick conversation with our team.
Before your audit begins, it helps to have your plan documents, participant census data, contribution and distribution records, investment statements, and prior years’ Form 5500 filings ready to go. Having these organized in advance is one of the biggest factors in keeping your audit on schedule, so it’s worth starting to gather them as soon as you know an audit is coming up.
