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Nonprofit & Tax-ExemptERISA Compliance with Ease and Confidence
Our expert Employee Retirement Income Security Act (ERISA) audit team helps you avoid costly penalties while protecting your employee benefits plan.
- Avoid fines of $1,000+ per day
- Reduce fiduciary liability risk
- Keep employee trust strong
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Trusted by Public Agencies and Nonprofits Across California, Nevada, Hawaii, and Arizona
What We Do
ERISA Audit Services That Protect Your Plan and Your Business
Complete Benefit Plan Audits
We perform thorough audits of all plan types that meet the ERISA audit requirement. Clients typically complete audits with minimal disruption to their normal operations.
Limited-Scope Audits
For qualifying plans, we can perform streamlined audits that focus only on areas not certified by your custodian. This saves time and money while still meeting ERISA requirements.
Plan Document Review
We review your plan documents to identify inconsistencies or compliance gaps before they become problems. Our document reviews have helped clients avoid potential regulatory issues in over 90% of cases.
Operational Compliance Testing
We test plan operations against both plan documents and current regulations to ensure proper administration. This helps identify and correct issues before they trigger penalties.
ERISA Audit Solutions
Stop Worrying About Compliance Penalties, Start Building Better Benefits
Employee benefit plans must follow strict ERISA rules, with daily fines exceeding $1,000 for non-compliance. Most companies lack the internal expertise to navigate these complex regulations, putting their plans and employee trust at risk.
Our ERISA Audit approach focuses on three key areas:
The result? Your plan stays compliant, your employees stay protected, and you avoid costly penalties while maintaining focus on your core business.
WHY CHOOSE US
"Why Choose The Pun Group For Employee Benefit Audits?"
You're tired of auditors who don't understand benefit plans
- Many accounting firms treat benefit plan audits as side projects
- Our team includes dedicated ERISA specialists, not just general auditors
- We complete over 50 employee benefit plan audits annually
- We’re charter members of the AICPA Employee Benefit Plan Audit Quality Center
You need an auditor who makes compliance simple
- Clear, jargon-free explanations of complex ERISA requirements
- Practical recommendations you can actually implement
- Responsive communication throughout the process
- No surprise fees or scope changes
You want a partner who works with your schedule
- We adapt to your timeline, not the other way around
- Remote audit options minimize disruption to your team
- Early planning to avoid Form 5500 extension needs
- Year-round support for compliance questions
FREQUENTLY ASKED QUESTIONS
You've got questions? We've got answers.
How do I know if my plan requires an ERISA audit?
Generally, plans with 100 or more eligible participants at the beginning of the plan year require an audit. However, certain exceptions exist, such as the 80/120 rule that may provide relief. We can help determine if your plan requires an audit.
What's the difference between a limited-scope and full-scope audit?
A limited-scope audit allows the auditor to rely on certification from a qualified institution (typically a bank or insurance company) regarding investment information. This reduces testing and can save time and money. Full-scope audits examine all plan aspects, including investments.
When should we start the audit process?
Ideally, planning should begin 2-3 months before your Form 5500 filing deadline. Starting early helps avoid rushed work and possible extensions. The earlier we start, the smoother the process will be.
What documents will you need for the audit?
Typical documents include plan documents, trust statements, participant data, contribution calculations, distribution forms, and loan documentation. We’ll provide a detailed request list during our planning phase.
How long does an ERISA audit typically take?
Most audits take 4-8 weeks from start to finish, depending on plan complexity and document availability. Limited-scope audits generally finish faster than full-scope audits.
How can we prepare for a smooth audit process?
Designate a point person for the audit, gather requested documents promptly, ensure plan records are organized and complete, and address any known issues before the audit begins.
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Ready to ensure your employee benefit plan meets all requirements?
Submit the form and we’ll help you get started with a compliant employee benefit plan audit.
- Complete the form or call us at (949) 777-8800
- We’ll schedule your free discovery call
- Get a clear audit plan including pricing, timeline and next steps
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