Employee benefit plan audits are subject to heightened regulatory scrutiny and complex reporting requirements. At Atherton & Associates, we perform employee benefit plan audits with a disciplined, compliance-focused approach aligned with ERISA and Department of Labor standards.
Our audits help plan sponsors, fiduciaries, and stakeholders strengthen reporting accuracy, support compliance obligations, and navigate the audit process with confidence.
Why It Matters
Employee benefit plan audits play a critical role in fiduciary oversight and regulatory compliance. A properly performed audit helps:
- Meet ERISA and Department of Labor filing requirements
- Support fiduciary responsibility and governance obligations
- Identify potential reporting or compliance issues
- Provide transparency to plan participants and regulators
Given the complexity of benefit plan reporting, experience and precision matter.
Our Approach
Our employee benefit plan audits are performed in accordance with applicable professional standards and regulatory guidance. We focus on understanding plan operations, identifying areas of higher risk, and executing procedures aligned with current compliance expectations.
Throughout the engagement, we emphasize responsive communication, efficient coordination, and a structured process designed to support timely reporting and filing requirements.
Audit & Assurance Capabilities
Employee Benefit Plan Audits
Independent audits of employee benefit plans, including defined contribution and defined benefit plans, performed to support regulatory compliance and accurate financial reporting.
Regulatory Reporting Support
Audit services designed to support Form 5500 filing requirements and related Department of Labor reporting obligations.
What You Can Expect
A structured, professionally managed engagement designed to support timely reporting and regulatory compliance.
- Clearly defined scope and timelines
- Coordinated communication with plan administrators and service providers
- Efficient fieldwork and documentation requests
- Timely audit deliverables aligned with filing requirements
When to Consider Employee Benefit Plan Audits
An employee benefit plan audit may be required or appropriate when your organization:
- Sponsors a benefit plan subject to ERISA audit requirements
- Meets Department of Labor participant thresholds
- Is experiencing plan growth or administrative changes
- Seeks to strengthen fiduciary oversight and compliance
If your plan is subject to audit requirements, engaging an experienced audit firm is essential.
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