ERISA Compliance

Our practice is led by an attorney with deep experience across private practice, in-house counsel, and federal regulatory enforcement. With more than two decades of experience in benefits auditing, compliance, plan governance, and fiduciary oversight, we bring a practical, solutions-oriented approach to even the most complex employee benefits matters.

Drawing on prior work with the U.S. Department of Labor, the Employee Benefits Security Administration, and extensive interaction with the Internal Revenue Service, we understand how regulators evaluate plans—and how to help clients prepare, respond, and succeed.

Our multidisciplinary background allows us to address overlapping legal, operational, and fiduciary issues without requiring clients to engage multiple advisors. We deliver comprehensive, strategic support tailored to each organization’s structure, workforce, and risk profile.

• Retirement, health, and welfare plan compliance
   
• Reporting and disclosure obligations
   
• Plan governance and documentation review
   
• Fiduciary risk management
   

• 401(k), profit-sharing, defined benefit, cash balance, 403(b), and 457 plans
   
• Plan design, amendments, and restatements
   
• Nondiscrimination and operational compliance
   
• Terminations and partial terminations
   

• Withdrawal liability analysis
   
• Funding and rehabilitation compliance
   
• Collective bargaining coordination
   
• Trustee governance support
   

• ACA, parity, and transparency compliance
   
• SBCs and required notices
   
• COBRA and HIPAA administration
   
• Vendor oversight
   

• Committee structure and charters
   
• Investment policy development
   
• Fee benchmarking
   
• Conflict-of-interest review
   
• Fiduciary training programs
   

• Internal plan audits
   
• Operational failure analysis
   
• Document compliance reviews
   
• Risk mitigation strategies
   

• EPCRS and VFCP submissions
   
• Delinquent filer corrections
   
• Prohibited transaction remediation
   
• Audit defense and negotiations
   

• Fiduciary training programs
   
• Benefits staff compliance training
   
• Governance workshops
   
• Customized compliance manuals
   

• Expert witness services
   
• Regulatory and fiduciary consulting
   
• Mediation support
   
• Litigation and audit strategy
   

• I-9 compliance coordination
   
• Benefits-related workforce compliance
   
• Veterans’ benefits and appeals consulting (as related to employee benefits administration)
   

• Former regulator insight and audit experience
   
• In-house and private practice perspective
   
• Practical, business-focused solutions
   
• Strong regulatory credibility
   
• Proven track record in high-risk compliance matters
   

We combine regulatory knowledge, operational understanding, and legal precision to help clients protect their plans, their organizations, and their fiduciaries.

The ERISA Group
Experience You Can Trust

Our practice is led by an attorney with deep experience across private practice, in-house counsel, and federal regulatory enforcement. With more than two decades of experience in benefits auditing, compliance, plan governance, and fiduciary oversight, we bring a practical, solutions-oriented approach to even the most complex employee benefits matters.

Drawing on prior work with the U.S. Department of Labor, the Employee Benefits Security Administration, and extensive interaction with the Internal Revenue Service, we understand how regulators evaluate plans—and how to help clients prepare, respond, and succeed.

Our multidisciplinary background allows us to address overlapping legal, operational, and fiduciary issues without requiring clients to engage multiple advisors. We deliver comprehensive, strategic support tailored to each organization’s structure, workforce, and risk profile.

• Retirement, health, and welfare plan compliance
   
• Reporting and disclosure obligations
   
• Plan governance and documentation review
   
• Fiduciary risk management
   

• 401(k), profit-sharing, defined benefit, cash balance, 403(b), and 457 plans
   
• Plan design, amendments, and restatements
   
• Nondiscrimination and operational compliance
   
• Terminations and partial terminations
   

• Withdrawal liability analysis
   
• Funding and rehabilitation compliance
   
• Collective bargaining coordination
   
• Trustee governance support
   

• ACA, parity, and transparency compliance
   
• SBCs and required notices
   
• COBRA and HIPAA administration
   
• Vendor oversight
   

• Committee structure and charters
   
• Investment policy development
   
• Fee benchmarking
   
• Conflict-of-interest review
   
• Fiduciary training programs
   

• Internal plan audits
   
• Operational failure analysis
   
• Document compliance reviews
   
• Risk mitigation strategies
   

• EPCRS and VFCP submissions
   
• Delinquent filer corrections
   
• Prohibited transaction remediation
   
• Audit defense and negotiations
   

• Fiduciary training programs
   
• Benefits staff compliance training
   
• Governance workshops
   
• Customized compliance manuals
   

• Expert witness services
   
• Regulatory and fiduciary consulting
   
• Mediation support
   
• Litigation and audit strategy
   

• I-9 compliance coordination
   
• Benefits-related workforce compliance
   
• Veterans’ benefits and appeals consulting (as related to employee benefits administration)
   

• Former regulator insight and audit experience
   
• In-house and private practice perspective
   
• Practical, business-focused solutions
   
• Strong regulatory credibility
   
• Proven track record in high-risk compliance matters
   

We combine regulatory knowledge, operational understanding, and legal precision to help clients protect their plans, their organizations, and their fiduciaries.

The ERISA Group
Experience You Can Trust

Our practice is led by an attorney with deep experience across private practice, in-house counsel, and federal regulatory enforcement. With more than two decades of experience in benefits auditing, compliance, plan governance, and fiduciary oversight, we bring a practical, solutions-oriented approach to even the most complex employee benefits matters.

Drawing on prior work with the U.S. Department of Labor, the Employee Benefits Security Administration, and extensive interaction with the Internal Revenue Service, we understand how regulators evaluate plans—and how to help clients prepare, respond, and succeed.

Our multidisciplinary background allows us to address overlapping legal, operational, and fiduciary issues without requiring clients to engage multiple advisors. We deliver comprehensive, strategic support tailored to each organization’s structure, workforce, and risk profile.

• Retirement, health, and welfare plan compliance
   
• Reporting and disclosure obligations
   
• Plan governance and documentation review
   
• Fiduciary risk management
   

• 401(k), profit-sharing, defined benefit, cash balance, 403(b), and 457 plans
   
• Plan design, amendments, and restatements
   
• Nondiscrimination and operational compliance
   
• Terminations and partial terminations
   

• Withdrawal liability analysis
   
• Funding and rehabilitation compliance
   
• Collective bargaining coordination
   
• Trustee governance support
   

• ACA, parity, and transparency compliance
   
• SBCs and required notices
   
• COBRA and HIPAA administration
   
• Vendor oversight
   

• Committee structure and charters
   
• Investment policy development
   
• Fee benchmarking
   
• Conflict-of-interest review
   
• Fiduciary training programs
   

• Internal plan audits
   
• Operational failure analysis
   
• Document compliance reviews
   
• Risk mitigation strategies
   

• EPCRS and VFCP submissions
   
• Delinquent filer corrections
   
• Prohibited transaction remediation
   
• Audit defense and negotiations
   

• Fiduciary training programs
   
• Benefits staff compliance training
   
• Governance workshops
   
• Customized compliance manuals
   

• Expert witness services
   
• Regulatory and fiduciary consulting
   
• Mediation support
   
• Litigation and audit strategy
   

• I-9 compliance coordination
   
• Benefits-related workforce compliance
   
• Veterans’ benefits and appeals consulting (as related to employee benefits administration)
   

• Former regulator insight and audit experience
   
• In-house and private practice perspective
   
• Practical, business-focused solutions
   
• Strong regulatory credibility
   
• Proven track record in high-risk compliance matters
   

We combine regulatory knowledge, operational understanding, and legal precision to help clients protect their plans, their organizations, and their fiduciaries.

The ERISA Group
Experience You Can Trust