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Retirement Plan Compliance Services

Enterprise Iron Financial Industry Solutions, Inc.

A tailored solution for all your compliance needs

Our vast team of SMEs provide you and your Plan Sponsors with the many benefits of our dynamic Retirement Plan Compliance Services (RPCS). We integrate as a supplement or extension of your own team to bridge knowledge gaps, increasing efficiency by outsourcing nuanced compliance activities (when applicable), maximizing flexibility, and minimizing costs by only using resources when they’re needed. Our Clients experience cost-savings from rightsized staffing and flexible costing models. 

Our industry-leading knowledge of rapidly changing legislation and regulations ensures that all your compliance needs are met. We convert the plan data into our software, if desired, or we can work with industry tools such as ASC and ftwilliam.com, while providing responsive customer service dedicated to all plan compliance and document-related questions from Plan Sponsors. You retain control over your compliance activities since we use your recordkeeping and document repository systems. This service includes our commitment to response time SLAs and customer service protocols.

Interested in learning more?

Email compliance@enterpriseiron.com


Plan Document Services

  • Plan Amendment requests from Plan Sponsors

  • Interim Amendments required by the IRS

  • Adoption agreement changes to products or services

  • New plan onboarding and plan design

  • Restatements


Compliance Testing

  • ADP/ACP Testing: current or prior year method

  • Determine HCEs for testing

  • 415 Limit Testing: calculate annual addition for all employees

  • Top Heavy Testing: ensure key employee plan assets do not surpass IRS limits

  • Recommendations for further action based on test results and assist the Plan Sponsor with corrective action

Government Form Filing

  • Gather data to complete Form 5500 and related schedules

  • Validate financial information and census data

  • Reconcile the Plan balance data against trust data

  • Review IRS guidance on annual filings and make needed updates accordingly 

Audit & Operational Support

  • Support the Plan Sponsor during audits (regulatory or internal): run reports, review data, and required research

  • Ensure adherence to the Plan document and legislation

  • Software updates and enhancements

  • Project management of annual compliance milestones

  • Annual RMD calculations (if needed outside of RK system) 

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