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Senior Businesswoman

Our customers do not want to be 401(k) experts.

Therefore, our plans take away up to 95% of administrative tasks by becoming the plan’s ERISA 3(16) administrative fiduciary and more importantly, the ERISA 402(a) Named Fiduciary and Trustee.

By doing this Compliance 401K manages the oversight of all day-to-day administrative and operational tasks and provides a review of TPA and recordkeeper service performance to ensure accordance with fiduciary best practices.


Our customers do not want to overpay to remain in compliance.


67% of all US plans fail their audits leaving business owners with large fines. Compliance 401K is proud to state that no plan has ever failed an audit while under its administration.

We have accomplished this by:

  • Evaluating and monitoring all loans and distributions to ensure that they are processed in accordance with the IRS and DOL rules and plan provisions

  • Verify that all plan operations are administered in accordance with the plan document

  • Review, sign, and file the IRS from 5500

A presentation at the office

Our clients want solutions that work for them.


This is why Compliance 401K has created a process that is simple and fast for our clients to either start or roll over an existing plan. To accomplish this, we have partnered our experts with industry leaders such and Voya and Ameritas to create a process built on experience that takes only a few weeks from start to implementation.


Our customers do not want to be at risk.


To make sure that this safety is upheld all Compliance 401K plan documents are stored in a cloud vault with 24/7 access and Compliance 401K is ready to respond and coordinate to any IRS or DOL audit or investigation.

We also conduct an annual review of fidelity bond to ensure that participants have adequate coverage.

Financial Report

Call for all your retirement questions:


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