COLLABORATION • COMPLIANCE • CONVENIENCE
AT COMPLIANCE 401K WE BECOME A VALUABLE PART OF YOUR TEAM
Allowing you to devote time and energy on growing your strategy while we focus our efforts on protecting your business
AN INDUSTRY
EXPERT
BECOME AN
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
• Working closely with your advisor, we provide Fiduciary Best Practices for your Plan.
•We support your HR department by providing more control and compliance oversight.
COMPLIANCE
• Working closely with your advisor, we provide Fiduciary Best Practices for your Plan.
• We support your HR department by providing more control and compliance oversight.
CONVINIENCE
• We reduce most of your company’s 401(k) Plan work.
We eliminate the need for you to spend valuable time and resources learning all the required ongoing compliance requirements.
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• Refocus your time on other HR of business-related issues.
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.
Large corporations offering a 401(k) Plan to their employees, take advantage of lower administrative & asset fees because of the size of their Plans.
Small to mid-sized companies offering a 401(k) Plan to their employees, pay much higher fees because of the lower amount of their Plan’s assets.
A Multiple Employer Plan (MEP) is a 401(k) Plan designed for participating unrelated employers who have no commonality, except for providing retirement benefits to their employees.
A MEP also provides lower Plan fees because it is a large 401(k) Plan with many Adopting Employers.
The MEP asset size increases scale & passes those lower fees to each Adopting Employer.
Each Adopting Employer can keep their current 401(k) Plan design based on their unique needs & goals.
The Compliance 401KÔ MEP performs 95% of all Administrative and Fiduciary tasks within the Plan, allowing you to devote your time and energy on growing your business, while we focus our efforts on protecting your business.
OUR LEADERSHIP
James Morin
Chief Executive Officer & Managing Partner
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Robert “Duff” Lindsay
President & Chief Sales Officer
Duff Lindsay is President and Chief Sales Officer with Compliance 401K. In this role, 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 Bachelor of Business Administration 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 2001, and enjoy spending time with their kids and grandkids.
OUR DIFFERENTIAL IS
MANTAINING COMPLIANCE
