COLLABORATION • COMPLIANCE • CONVENIENCE
AT COMPLIANCE 401K WE BECOME A VALUABLE PART OF YOUR TEAM
Allowing you to devote your time and energy on growing your business while we focus our efforts on protecting your business
WE'LL HELP YOU AVOID
THE MOST COMMON REASONS FOR RETIREMENT PLAN FAILURE:
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Not Following the Terms Of Your Plan Documents
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Late Contributions
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Mishandled Eligibility
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Prohibited Transactions
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Not Following Loan Provisions
INDUSTRY
EXPERTS
HELP YOU
LET OUR
In today’s workforce environment, employees want and expect their employer to provide a retirement vehicle such as a 401(k) plan. When an employer implements a retirement plan, they are responsible for all administrative, regulatory and compliance oversight to ensure their employee’s plan financial wellness.
The employer, or plan sponsor, has fiduciary responsibility set forth by the Employee Retirement Security Act (ERISA) and enforced by the IRS and Department of Labor. The DOL has stated that getting your fiduciary duties correct is challenging for employers, even more so for small to medium sized employers with limited time and resources.
Maintaining compliance can be difficult and as the fiduciary, you are held to the standard of an “Industry Expert”.
WE PARTNER WITH YOU TO PROVIDE
COLLABORATION
Work with our team of experts to create a plan that fits your company’s needs.
COMPLIANCE
Have our experts take care of 95% of government compliance involved in a retirement plan.
CONVENIENCE
Spend time on your business and not on extensive government compliance.
ABOUT US
Compliance 401K is an independent external 401(k) Plan compliance partner for retirement plan sponsors. We serve as the ERISA 3(16) Administrative Fiduciary & and more importantly, as the ERISA 402(a) Named Fiduciary to ensure plan sponsors meet all requirements set forth by the Department of Labor and the IRS.
OUR GOALS
By planning, saving and working together, we’ll create a retirement savings program that works for your employees and your business.
Our goal is to create an affordable retirement plan option for every business
Compliance 401K reduces compliance that a business has to preform by 95% with our innovative MEP.
We work to make a personal connection with each of our clients to create the best product and service solution possible.
OUR MISSION
At Compliance 401K, our mission is to lower the compliance and financial burdens of sponsoring a retirement plan and to give every business the option to offer one.
OUR LEADERSHIP
James Morin
Chief Executive Officer & Managing Partner
James Morin is the co-founder of Compliance 401K, a retirement plan firm. His responsibilities are to oversee all day-to-day operations of the company, as well as strategic planning, development, and customer service. Being a goal-oriented individual and team player, he has also been actively involved in the planning and directing the short and long-range objectives and goals of the company.
Before Compliance 401K, James Morin was CEO of CMS Primary Home Care Inc., creating a memorable landmark of success and excellence in carrying out his assigned duties. He managed the organization's operations by directing and coordinating activities consistent with established goals, objectives, and policies.
As a long-term finance professional, he served as Senior Vice President at Lone Star National Bank in McAllen. While at JPMorgan Chase, he embraced core values of integrity, innovation, and growth as a Portfolio Manager, where he effectively managed client portfolios.
Mr. Morin graduated from the University of Texas, Austin, and currently resides in Alamo Heights, Texas, with his wife and two daughters.
Robert “Duff” Lindsay
President & Chief Sales Officer
Duff Lindsay is the co-founder of Compliance 401K. At the company, he takes on the roles of President and Chief Sales Officer for the company. In these roles, he is responsible for developing the company’s annual and long-term business development and sales enablement plans. He believes we are always learning and growing in the ever changing retirement plan industry.
Duff has over 35 years in the employee benefits industry working in senior level positions for CIGNA, BCBS, WellPoint, United Health Care and Optum.
A native of Kosciusko, Mississippi, Duff earned a BBA Degree in Marketing from Mississippi State University and has received the designations of Certified Insurance Counselor (CIC) and Certified Employee Benefits Specialist (CEBS).
Duff and his wife, Angela, have lived in The Woodlands, Texas since 2002, and enjoy spending time with their kids and grandkids.
OUR PARTNERS
LET'S BUILD A
FINANCIAL FUTURE
TOGETHER
