401(k) Plan Compliance Audit Checklist Form
Use this form to document your 401(k) plan compliance audit, including plan details, audit period, compliance review, findings, and sign-off.
Plan Name
*
Plan ID or Reference
Audit Period (Start and End Dates)
*
-
Month
-
Day
Year
Date
Auditor Name
*
First Name
Last Name
Auditor Email
*
example@example.com
Compliance Items Reviewed
*
Plan document up-to-date
Participant eligibility verified
Timely contribution deposits
Discrimination testing completed
Loan and distribution compliance
Other
Audit Findings
*
Corrective Actions Recommended
Deadline for Remediation
-
Month
-
Day
Year
Date
Audit Sign-Off (Name and Date)
*
Submit Audit
Should be Empty: