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Recognizing that the legislation and accounting rules governing employee benefit plans are both unique and complex, RubinBrown has established a group which specializes in this area.

RubinBrown’s Benefit Plan Audit Services Group provides comprehensive audit and consulting services to more than 170 employee benefit plans.

Team Expertise
RubinBrown’s Benefit Plan Audit Services Group consists of auditors who are dedicated, year round, to auditing employee benefit plans of varying sizes and complexity.

Many of our auditors have backgrounds in plan administration which provide them with the "hands-on" experience necessary to understand where problems can arise in plans.

We have an in-depth understanding of ERISA and other regulatory requirements that enable us to advise our clients on how to operate their plans in compliance with the laws.

Our Approach
Our concept of comprehensive service to clients goes far beyond the once-a-year performance of audit services. We believe that truly responsive service requires continuous attention, which means being available to you and your staff throughout the year.

This approach blends both technical audit and general industry experience into a constructive service concept. We use the latest in audit technology to analyze client needs and provide timely, quality service in the most efficient manner.

Our approach to the audit of the plan will emphasize quality, efficiency, and continuous involvement.

Benefit Plan Audit Services

The services available from our Benefit Plan Audit Services Group include:

• Audits of defined benefit, defined contribution and welfare benefit plans
• Department of Labor (DOL) full scope and limited scope audits
• Consultation on plan administration and compliance issues
• Performance of operational/compliance reviews

The Benefit Plan Audit Group works collaboratively with an additional resource group - the RubinBrown Benefits Group.  The RubinBrown Benefits Group is an in-house third party administration service that provides a variety of services to meet the employee benefit needs of businesses of all types and sizes.

Our team members have a long history of expertise in retirement plan design, implementation, employee communications, reporting and administration.

Among the services offered by the Benefits Group are:

• Plan design and consulting
• Plan document services
• Employee communications
• Recordkeeping and administration
• Preparation of Form 5500
• Compliance services

The Benefits Group currently provides administration and compliance reporting to more than 300 pension and welfare plans.  It also provides prototype plan document capabilities and performs administration and preparation of Form 5500s.

PCAOB Member Firm
As required by the Sarbanes-Oxley Act of 2002 for any accounting firm auditing the financial statements of public companies, RubinBrown is registered with the Public Company Accounting Oversight Board (PCAOB).  Retirement plans with SEC filings fall under the category of a public entity. RubinBrown, as a PCAOB member, is one of the firms in Denver, Kansas City, and St. Louis with the credentials to perform these audits.  RubinBrown is very proud that our recent PCAOB inspection resulted in a clean opinion with no findings.

AICPA Employee Benefit Plan Audit Quality Center
RubinBrown is not only a member of the AICPA Employee Benefit Plan Audit Quality Center, but we are represented on numerous committees within the AICPA, allowing us access to issues affecting our clients.

We welcome your questions or comments.

For more information, please contact:

Brian D. Frevert, CPA, MBA, CFP^®
Partner
303.952.1231
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Charles F. (Chip) Harris, CPA
Partner
913.499.4426
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Karis Schwent
Manager-In-Charge
314.290.3367
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