COLLABORATION • COMPLIANCE • CONVENIENCE

Compliance 401K has introduced an open architecture Pooled Employer Plan (PEP) where unrelated employers can participate in a single, shared retirement plan.​​

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• In our Pooled Employer Plan, Compliance 401K acts as the Pooled Plan Provider (PPP) and also assumes the 402(a) Named Fiduciary and Trustee duties.

• These duties reduce the employer's plan administrative responsibilities and fiduciary liabilities by 95%.

• ​With our open architecture solution, we work with TPAs across the country who currently provide their services to the employers requesting our PEP.

Small and Mid-Market Employers implementing a startup or rollover plan with more than $500,000 in AUM.

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• Outsourcing 95% of administrative duties and fiduciary liability is the major concern.

• Compliance 401K is the 402(a) Plan Sponsor, Named Fiduciary and Trustee.

• Compliance 401K preps and signs the annual 5500 form.

• Employer is the Adopting Employer.

A 457(b) is a tax-advantaged retirement plan primarily for civil servants, municipal employees, law enforcement officers and public safety personnel. In addition, executives at hospitals, charities and unions, as well as some independent contractors employed by state and local government bodies, may participate in 457(b) plans.

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• ​Compliance 401K acts as the 3(16) and 402(a) Named Fiduciary and Trustee.

• Compliance 401K preps and signs the annual 5500 form.

• 3(38) Fund Manager & Fiduciary included.

As a retirement plan 402(a) Named Fiduciary & Trustee, Compliance 401K will contract with employers to provide our standalone 402(a) services to their current employer sponsored retirement plan.

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Our goal is to reduce an employer's retirement plan administrative duties and fiduciary liabilities by 95%.

The SmartChoice product is designed for small and mid-market employers implementing a startup or rollover retirement plan.

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• Cost, Outsourcing plan administration and reducing employer fiduciary liability are the major concern.

• Employer is the Plan Sponsor.

• Professional Administration – Compliance 401K acts as the 3(16) Administrative Fiduciary and  signs the 5500 form.

• 3(38) Fiduciary and Fund Manager.

SmartStart was designed for small employers wanting to implement a retirement plan where cost is the biggest factor.  While the employer is the plan sponsor, Compliance 401K provides 3(16) administration oversight.  We prep the plan sponsor’s 5500 form.  We also provide a 3(38) fiduciary and fund manager.

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• Small employers implementing a startup 401(k) retirement plan.

• Cost is the biggest employer issue.

• Employer is the Plan Sponsor.

• Compliance 401K provides 3(16) Administrative Oversight but does not sign the 5500 form.

• 3(38) Fiduciary and Fund Manager.