401(k) Plan Audit

Conduct an audit of your organization's 401(k) retirement savings program to ensure compliance with regulations, as well as timely and accurate transaction postings.
Template Contents
Audit
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Audit your retirement plan with ease.

This template allows audit teams to initiate and execute an audit of the 401(k) program in their organization. You'll find audit procedures that span the entire 401(k) program lifecycle that your team can follow, including the following areas:

  • Control environment
  • Plan documentation & retention
  • Compliance with regulations
  • Onboarding, offboarding, and participant administration 
  • System access, segregation, availability
  • Monitoring and reporting

The template is dynamic and can be modified to suit user scope and process.

Key Features
  • Defined audit procedures
  • Prepopulated audit test steps for each identified audit procedure
  • Ability to track progress for each procedure
  • Dynamic format, with the ability to add or remove procedures

401(k) Plan Audit is the property of AuditNet®. 

Workiva disclaims all warranties as to the accuracy, completeness or adequacy of information contained in the AuditNet® 401(k) Plan Audit Template, or for interpretations thereof. Workiva accepts no liability or responsibility to the user for the selection of materials from the AuditNet® content or for reliance by any user or reader of such information.

Compatible Solutions
To use this item, your organization needs to have purchased one of the following solutions.
Audit Management
Support and Documentation
Last updated 7/15/2021 (Release Notes)

Frequently Asked Questions

Yes, the template is fully editable.

No, this template is only available for the Audit workspace. We are working on generating SOX/Controls Management templates.

Yes, you can access additional audit templates from AuditNet. Please click on the following page for details: https://support.workiva.com/hc/en-us/articles/360042140452-Create-an-audit-from-a-template, or reach out to your Customer Success Manager for assistance.

Yes, the template can be downloaded as an .xlsx document and shared. Please click on the following link for more details: https://support.workiva.com/hc/en-us/articles/360042140452-Create-an-audit-from-a-template

Fit for Purpose Solutions
Audit Management
Manage complex audit fieldwork and workpapers with unparalleled ease.