Compliance & Audit Support
100% on-time compliance reporting. Zero audit findings. We design controls and testing regimens that keep regulators satisfied and your operations team sleeping at night.
The Problem
Regulatory requirements keep expanding — SECURE 2.0, annual testing, Form 5500 preparation, non-discrimination testing — and the consequences of getting it wrong range from plan disqualification to regulatory action.
How We Help
We deploy experienced compliance and testing resources who understand the intersection of regulation and technology. We've delivered 100% on-time compliance reporting, zero audit findings in regulatory reviews, and 2,000+ automated processes executed annually — reducing manual work and errors. We design testing regimens, automate compliance workflows, and build audit trails that satisfy regulators and internal audit teams.
Key Capabilities
- Non-discrimination testing support
- Form 5500 preparation assistance
- SECURE 2.0 compliance implementation
- Compliance automation
- Audit preparation and remediation
- Regulatory change impact analysis
- Plan document review and testing
Proof Point: Multiple clients
100% on-time compliance reporting, zero audit findings across client engagements.
Related Services
From the Library
Further reading on compliance & audit support
Research, case studies, and field notes from our practice on this topic.
The Data Your Retirement Platform Already Has
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Introducing the Retirement Data Execution Quality (RDEQ) framework — a 500-point assessment across five categories that measures how well a firm actually uses the data it already collects.
Manual Processes Are Not 'Safer.' They Are Audit Risk in a Lab Coat.
Thirty-five years in retirement QA has taught me what auditors actually find when they go looking. It's almost never the automated system. It's the spreadsheet nobody else knows exists.
Read articleYour platform won't modernize itself. Let's talk.
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