Retirement Plan Audits

Many Phoenix businesses and companies across Arizona 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.

Arizona 401(k) Plan Audit Experience

Keiter CPAs provides employee benefit plan audit services to businesses in Phoenix and across Arizona. 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.

Phoenix 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

Phoenix, AZ

About Phoenix, AZ

Phoenix is known for its warm and sunny weather, with more than 300 days of sunshine per year. The city is surrounded by beautiful desert landscapes, including mountains, cactus forests, and unique rock formations. Visitors can explore the natural beauty of the area by hiking, biking, or horseback riding in nearby parks and wilderness areas.

Phoenix is also home to many cultural attractions, including museums, galleries, and performing arts venues. The Phoenix Art Museum and the Heard Museum are popular destinations for art lovers, while the Orpheum Theatre and the Symphony Hall host performances by the Phoenix Symphony Orchestra and other touring acts.

Contact our Arizona ERISA Audit Team

Keiter CPAs provides ERISA and DOL audits for plan sponsors located in Phoenix and across Arizona. 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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