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.

The content provided on this website does not, and is not intended to, constitute legal, accounting, tax, investment, compliance, or other professional advice and services; instead, all information, content, and materials available on this site are for general informational purposes only. The content on this posting is provided "as is;" no representations are made that the content is error-free or up to date.

Compatible Solutions

To use this item, your organization needs to have purchased one of the following solutions.

Audit Management

Created By

Support and Documentation

Last updated 7/15/2021 ()

Frequently Asked Questions

Can I make changes to the template; e.g., add or remove sections or procedures?

Yes, the template is fully editable.

Is the template available in the SOX/Controls Management workspace?

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

Can I access other audit templates beyond those listed in the "Audit from template" listing?

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.