401k Plan Audits

Many Charlotte, Raleigh, and companies across North Carolina offer a retirement plan to provide employees with an opportunity to build retirement savings over their careers. While an important benefit option and savings tool, there are several regulations from both the IRS and the Department of Labor (DOL) which must be followed. While compliance for small plans (less than 100 employees) is easier to navigate, large plans (more than 100 participants) face far more complex regulations. As outlined in the Employee Retirement Income Security Act (ERISA) large plan sponsors are required to undergo an annual plan audit. These audits provide assurance to plan management and participants about the financial condition of the plan.

North Carolina 401(k) Plan Audit Experience

Keiter CPAs provides employee benefit plan audit services to businesses in Charlotte, Raleigh, and companies across North Carolina. We audit over 100 employee retirement plans of various sizes including those sponsored by publicly held companies. Our team has significant experience addressing the audit needs of defined benefit and defined contribution plans including 401(k) and 403(b) plans. Our services extend to both full-scope audits and the new ERISA Section 103(a)(3)(c) audit which replaces the limited scope audit type.

Raleigh ERISA Audit Services

  • Limited & Full Scope Audits
  • DOL Form 5500 Preparation
  • Audits Requiring an SEC Form 11K Submission
  • Defined Benefit & Defined Contribution Plans
  • SAS 136 Compliance Including the New ERISA Section 103(a)(3)(c) Format
  • Plan Mergers, Acquisitions & Spinoffs
  • ERISA Compliance Issues

Charlotte, NC

About Charlotte, NC

Charlotte is home to several iconic landmarks and attractions, including the NASCAR Hall of Fame, the Charlotte Motor Speedway, and the U.S. National Whitewater Center. The city also has a thriving arts and cultural scene, with several museums, galleries, and theaters.

In addition to its attractions and cultural offerings, Charlotte is a major financial center, with several major companies headquartered in the city, including Bank of America and Duke Energy. The city is also home to several universities, including the University of North Carolina at Charlotte and Johnson C. Smith University, which contribute to the city’s intellectual and cultural vibrancy.

Contact our North Carolina ERISA Audit Team

Keiter CPAs provides ERISA and DOL audits for plan sponsors located in Charlotte, Raleigh, and across North Carolina. If you have questions about our services or would like to obtain a quote to conduct your next plan audit, complete the form below and a team member will reach out shortly.

Keiter’s Plan Audit services often result in the highest value when combined with other complex services. This permits us to fulfill our role as Opportunity Advisors.

Oregon ERISA DOL Audits


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