Government Audits

Being selected for an audit can feel overwhelming, but the process doesn't have to be. After all, selection doesn't necessarily mean something bad has happened. It could simply mean the IRS or DOL is doing "field research" to determine how a random sample of plan sponsors is operating a certain plan provision. Whatever the reason, we're here to help you through the process. 

Government Audits | DWC - The 401(k) Experts
The Annual ERISA Compliance Review we prepare for clients documents a plan's operational compliance from top to bottom. If your plan is selected for audit by the IRS or DOL, our AECR covers most of the items an auditor will want to review.

Ensuring Audit Requests Are Handled Quickly and Correctly

We've helped many clients through both IRS and DOL audits, so we know what they're looking for and how to make the process as smooth as possible.

Every audit situation is a little different, so we tailor our services to fit your needs, whether it's simply reassuring you that everything is in order or fully representing you from start to finish. Prefer to have your accountant or attorney head things up? We're happy to work in a support role, providing any additional documentation or responding to questions that may arise.

What We Do

  • Perform a self-audit for new clients to identify and get in front of any issues before the auditor finds them 
  • Compile all requested documentation in a well-organized, easy-to-find format to allow the auditor to quickly check things off his or her list
  • Help determine which parties should be involved with the audit
  • Coach you on how to, at minimum, honestly respond to auditor questions 
  • Coordinate with the entire service provider team

Explore Government Audits in the Knowledge Center

Get in Touch to Learn More About DWC's Government Audit Services 

Contact Us

Access the Knowledge Center