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Are You Prepared for a DOL Audit?

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Location

Connor & Gallagher OneSource Office

750 Warrenville Road

Suite 400

Lisle, IL 60532

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Description

This event will provide participants with information on The Employee Retirement Income Security Act (ERISA) Employer Compliance Requirements – what is required and what to expect if the employer encounters a DOL Compliance Audit.

Often, employers are uncertain about their compliance responsibilities and what risk they have if audited by the Department of Labor. Employers can be fined and can an incur penalties for failing to meet DOL - ERISA regulatory requirements.

This Presentation includes a review of an actual DOL ERISA employer audit and document request. Participants will be able to use information gained during the presentation to assess their preparedness to successfully meet audit requirements.

Presentation Outline:

I. Introduction & Session Overview - 5 minutes

II. Review of Employer ERISA Requirements - 10 minutes

a. Employer Document Requirements

i. What is the Risk

III. DOL Audit General overview - 15 minutes

a. Review of Audit & Investigation Types

i. DOL – Wage & Hour, ERISA / ACA

b. Common Audits

c. Issues - if the Employer is not Prepared

d. Review an actual DOL–ERISA Audit

IV. What is the Risk of an Audit / DOL Investigation - 10 minutes

a. What is the Role of the Agent / Broker

b. Employer’s due diligence & preparation

c. Required Documents to be presented to the DOL

V. Recommendation and Best Practices - 10 minutes

a. Review list of best Practice activities

b. Recommendations for employer manager training

VI. Questions and Answers


Attendees will be eligible to receive the following education credits: 1 SHRM Professional Development Credit (PDC).

Lunch will be provided.

Guest Speaker: Joe Aitchison, VP of Compliance, Basic.

Date and Time

Location

Connor & Gallagher OneSource Office

750 Warrenville Road

Suite 400

Lisle, IL 60532

View Map

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