Behind the Audit: What HR Professionals Need to Know
Employee benefit plan audits play an important role in protecting plan participants and supporting compliance with ERISA regulations, yet many plan sponsors and HR professionals are uncertain how best to prepare. Join representatives from the DOL and the auditing profession for a practical discussion of selecting a quality auditor, preparing for an audit, responding to DOL correspondence, and avoiding common findings. Attendees will gain actionable insights to the audit process and their improving audit experience.
Key Objectives
Identify the characteristics of a qualified employee benefit plan auditor and understand the plan sponsor's responsibilities in the auditor selection process. Describe key steps in preparing for an employee benefit plan audit, including documentation, internal controls, and communication practices that contribute to an efficient audit. Recognize common audit and compliance findings, understand how to respond to DOL correspondence, and implement practices to reduce future plan risks.
Gwen Mazzola
Assurance Partner at HoganTaylor LLP
Gwen Mazzola currently serves as HoganTaylor’s Employee Benefit Plan (EBP) Lead Partner. She has more than 25 years of experience providing audit and accounting services to clients and devotes 100% of her professional efforts to the EBP industry. Gwen was appointed to and served a three-year term on the Department of Labor’s ERISA Advisory Council. Gwen is also currently serving as a member of the AICPA EBP Audit Quality Center Expert Panel, the AICPA and CIMA EBP conference planning committee, and the AICPA EBP Audit and Accounting Guide task force. Gwen previously served as a member of the AICPA EBP Audit Quality Center’s Executive Committee and co-chaired the EBP conference committee. Gwen is a presenter at various conferences nationwide, including the AICPA and CIMA EBP Conference. Gwen is a member of the AICPA, the Arkansas Society of Certified Public Accountants, the Oklahoma Society of Certified Accountants, and the Texas Society of Certified Public Accountants. Gwen is a Summa Cum Laude graduate of the University of Arkansas with a Bachelor of Science in Business Administration in Accounting.
Please Note: Speakers and topics are subject to change without notice.