View Catalog
Employee Benefit Plan Audit Conference
ID: 63603
Tuesday April 22, 2025 8:30AM - 4:30PM
Topics:
Audit + Assurance
Whether you’ve been in the EBPA world for eons or you’re an eager
rookie—this conference will get you up to speed on what’s around the bend
for employee benefit plans and audits. We have a specially designed boot
camp that’s the bee’s knees for beginners, and everyone will have the
opportunity to hear from the DOL and peer review experts on the latest
updates and top audit issues through interactive learning focused on the
EBP sector and enhancing audit quality.
Topics to be covered:
- A U.S. Department of Labor update
- Accounting and auditing update
- Retirement legislation update
- Fiduciary responsibilities, ERISA compliance and best practices
- Initial plan audit overview
- Peer review update
- Form 5500
- Audit technology
- Risk management best practices
- EBP audit beginner bootcamp
And don't forget —the larger the group, the bigger the discount!
- 5-9 attendees = 10% off
- 10+ attendees = 20% off
Call Member Services at 614.764.2727 to register your group.
Agenda
22Apr
The Current State and Future Direction of Employee Benefit Plan Audits
CPE: 1.5 AU
Accounting & Auditing Update
CPE: 1.5 AU
Retirement & Legislative Update
CPE: 1 AU
Initial Plan Audits
CPE: 1.5 AU
Understanding Fiduciary Responsibilities, ERISA Compliance & Best Practices
CPE: 1.5 AU
EBP Audit Bootcamp
CPE: 4 AU
Peer Review Update: Hear from the Audit Quality Experts
CPE: 1.5 AU
What you Need to Know: Form 5500
CPE: 1.5 AU
Emerging Technology for an Efficient Audit
CPE: 1 AU
Risk Management
CPE: 1 AU
Agenda
22Apr
The Current State and Future Direction of Employee Benefit Plan Audits
CPE: 1.5 AU 8:30 AM - 9:45 AMSpeaker: Marcus Aron
- Get an update on the key regulatory changes impacting employee benefit plan audits
- Analyze current challenges in employee benefit plan audits, identify potential risk areas, and develop strategies to enhance audit quality and compliance
- Gain insights into emerging trends and technologies in the field of employee benefit plan audits, enabling them to anticipate and adapt to future audit requirements
Accounting & Auditing Update
CPE: 1.5 AU 9:55 AM - 11:10 AMSpeaker: Michelle Buckley
- Update on accounting and auditing issues
- Discuss SAS 145 year 2
- Explore updates on Secure Act 2.0 and potential audit considerations
Retirement & Legislative Update
CPE: 1 AU 11:25 AM - 12:15 PMSpeaker: Aaron Lane
-Gain insight into recent legislative changes impacting retirement plans, including tax reforms, contribution limits, and compliance requirements.
-Understand how upcoming regulatory changes affect retirement plan administration and employer obligations.
-Learn strategies for maintaining compliance and efficiency in retirement plans amidst evolving legal requirements.
EBP Audit Bootcamp
CPE: 4 AU 12:45 PM - 4:30 PMSpeaker: Marilee Lau
- Develop a strong foundation in employee benefit plan audit fundamentals, including key regulations and standards.
- Identify common audit deficiencies and strategies to enhance audit quality and compliance.
- Apply practical techniques to improve efficiency and accuracy in employee benefit plan audits.
Initial Plan Audits
CPE: 1.5 AU 12:45 PM - 2:00 PM- Identify the essential regulatory requirements and documentation needed for an initial employee benefit plan audit.
- Recognize common risks and compliance challenges in first-time audits to improve audit quality.
- Learn best practices for planning and executing an effective and efficient initial plan audit.
Understanding Fiduciary Responsibilities, ERISA Compliance & Best Practices
CPE: 1.5 AU 12:45 PM - 2:00 PMSpeaker: Edward Redder
- Explain fiduciary responsibilities under ERISA and their impact on employee benefit plan audits.
- Identify key ERISA compliance requirements to ensure proper plan management and oversight.
- Apply best practices to strengthen fiduciary governance and minimize compliance risks.
Peer Review Update: Hear from the Audit Quality Experts
CPE: 1.5 AU 2:10 PM - 3:25 PMSpeaker: Peter Zender
- Understand recent peer review findings and their impact on employee benefit plan audits.
- Identify common audit quality issues and strategies for improvement.
- Learn best practices from audit quality experts to enhance compliance and performance.
What you Need to Know: Form 5500
CPE: 1.5 AU 2:10 PM - 3:25 PM- The form 5500 session will provide an overall review of the Form 5500 and related schedules.
- From the audit perspective we will cover best practices for reviewing and reconciling the Form 5500 and related schedules to the Financial Statements.
- We will also briefly discuss instances where you might expect Form 5500 reporting to differ from Financial Statement reporting.
Emerging Technology for an Efficient Audit
CPE: 1 AU 3:40 PM - 4:30 PMSpeaker: Kim Conaway
- Explore emerging technologies that enhance efficiency and accuracy in employee benefit plan audits.
- Understand how data analytics and automation can improve audit quality and compliance.
- Learn best practices for integrating technology into the audit process to streamline workflows.
Risk Management
CPE: 1 AU 3:40 PM - 4:30 PMSpeaker: Elizabeth Vargo
- Identify key risk factors in employee benefit plan audits and their potential impact.
- Develop strategies to mitigate risks and enhance audit effectiveness.
- Learn best practices for implementing a risk-based approach to auditing.
Agenda
22Apr
The Current State and Future Direction of Employee Benefit Plan Audits
CPE: 1.5 AU 8:30 AM - 9:45 AMSpeaker: Marcus Aron
- Get an update on the key regulatory changes impacting employee benefit plan audits
- Analyze current challenges in employee benefit plan audits, identify potential risk areas, and develop strategies to enhance audit quality and compliance
- Gain insights into emerging trends and technologies in the field of employee benefit plan audits, enabling them to anticipate and adapt to future audit requirements
Accounting & Auditing Update
CPE: 1.5 AU 9:55 AM - 11:10 AMSpeaker: Michelle Buckley
- Update on accounting and auditing issues
- Discuss SAS 145 year 2
- Explore updates on Secure Act 2.0 and potential audit considerations
Retirement & Legislative Update
CPE: 1 AU 11:25 AM - 12:15 PMSpeaker: Aaron Lane
-Gain insight into recent legislative changes impacting retirement plans, including tax reforms, contribution limits, and compliance requirements.
-Understand how upcoming regulatory changes affect retirement plan administration and employer obligations.
-Learn strategies for maintaining compliance and efficiency in retirement plans amidst evolving legal requirements.
Agenda
22Apr
Initial Plan Audits
CPE: 1.5 AU 12:45 PM - 2:00 PM- Identify the essential regulatory requirements and documentation needed for an initial employee benefit plan audit.
- Recognize common risks and compliance challenges in first-time audits to improve audit quality.
- Learn best practices for planning and executing an effective and efficient initial plan audit.
Peer Review Update: Hear from the Audit Quality Experts
CPE: 1.5 AU 2:10 PM - 3:25 PMSpeaker: Peter Zender
- Understand recent peer review findings and their impact on employee benefit plan audits.
- Identify common audit quality issues and strategies for improvement.
- Learn best practices from audit quality experts to enhance compliance and performance.
Emerging Technology for an Efficient Audit
CPE: 1 AU 3:40 PM - 4:30 PMSpeaker: Kim Conaway
- Explore emerging technologies that enhance efficiency and accuracy in employee benefit plan audits.
- Understand how data analytics and automation can improve audit quality and compliance.
- Learn best practices for integrating technology into the audit process to streamline workflows.
Agenda
22Apr
Understanding Fiduciary Responsibilities, ERISA Compliance & Best Practices
CPE: 1.5 AU 12:45 PM - 2:00 PMSpeaker: Edward Redder
- Explain fiduciary responsibilities under ERISA and their impact on employee benefit plan audits.
- Identify key ERISA compliance requirements to ensure proper plan management and oversight.
- Apply best practices to strengthen fiduciary governance and minimize compliance risks.
What you Need to Know: Form 5500
CPE: 1.5 AU 2:10 PM - 3:25 PM- The form 5500 session will provide an overall review of the Form 5500 and related schedules.
- From the audit perspective we will cover best practices for reviewing and reconciling the Form 5500 and related schedules to the Financial Statements.
- We will also briefly discuss instances where you might expect Form 5500 reporting to differ from Financial Statement reporting.
Risk Management
CPE: 1 AU 3:40 PM - 4:30 PMSpeaker: Elizabeth Vargo
- Identify key risk factors in employee benefit plan audits and their potential impact.
- Develop strategies to mitigate risks and enhance audit effectiveness.
- Learn best practices for implementing a risk-based approach to auditing.
Agenda
22Apr
EBP Audit Bootcamp
CPE: 4 AU 12:45 PM - 4:30 PMSpeaker: Marilee Lau
- Develop a strong foundation in employee benefit plan audit fundamentals, including key regulations and standards.
- Identify common audit deficiencies and strategies to enhance audit quality and compliance.
- Apply practical techniques to improve efficiency and accuracy in employee benefit plan audits.
Speakers
Marcus Aron
The Current State and Future Direction of Employee Benefit Plan Audits
Updated 12.3.19 - MW
Senior Auditor
Division of Accounting Services
Employee Benefits Security Administration
U.S. Department of Labor
Washington, D.C.
Mr. Aron has over thirty years of experience in working with audits of ERISA-covered plans. He is responsible for the day-to-day implementation of EBSA’s CPA Firm Inspection Program, providing technical assistance to plan filers and plan professionals, and providing ERISA-related accounting and auditing expertise within EBSA.
Mr. Aron is a certified public accountant and holds a B.B.A. degree with a major in accounting from the College of William and Mary in Virginia.
Michelle Buckley
Accounting & Auditing Update
PDF of Bio and Picture attached
Experience
Michelle is a Vice President in Meaden & Moore’s Assurance Services Group with over 25 years of public accounting experience serving publicly held and private companies. As a practice leader of the firm’s employee benefits and consulting practice, Michelle has had extensive experience with qualified benefit plan audits, operational reviews, tax issues and the unique complexities of these engagements. She understands the risks to plan sponsors and continuously offers suggestions for improvement to minimize any potential fiduciary liability. Michelle’s primary responsibility is to ensure that each of her clients receive high‐quality, timely service. She continually looks for ways to reduce the costs of the engagement while finding ways to add value to the relationship. Michelle maintains close contact with clients to develop long‐term relationships and earn their confidence. Through sound business judgment and prior experience, she makes effective suggestions and recommendations to maximize efficiencies and to help a company meet its long‐term goals. As an Accredited Investment Fiduciary Analyst TM (AIFA®), Michelle also assists in consulting retirement plan sponsors and investment advisors in fiduciary best practices and prudent investment process.
Professional Development
Ohio Society of Certified Public Accountants Accredited Investment Fiduciary Analyst TM(AIFA®), professional designation from Fiduciary360 (fi360) American Institute of Certified Public Accountants WEB Network of Benefits Professionals, Steering Committee Author of several articles to Compensation and Benefits Review Designated Audit Partner for Employee Benefit Audit Quality Center Member of the AICPA Employee Benefit Expert Panel and AICPA Employee Benefit Conference planning committee
Areas of Specialization
Manufacturing and Distribution Defined Contribution and 403(b) Plan Audits Defined Benefit Plan Audits Health and Welfare Audits SEC Benefit Plan ESOP Reporting Fiduciary Assessments
Aaron Lane
Retirement & Legislative Update
I believe in helping my clients understand any and all financial questions they have, so they can make the most informed decision with their money. I believe in creating personal relationships with my clients so I can understand what's most important to them, their dreams for the future, and any roadblocks that may get in the way.
At Edward Jones, we partner alongside you throughout your life utilizing our 5-step process that is updated after any significant life event (at least annually). We tailor our solutions and advice to each client based on their comfort level with risk and the goals that they value most. A lot of people have retirement as their number one, but if it's not, that's okay. I believe in helping with the short-term goals as well as the longer-term ones.
I've always had a passion for helping people. I went to The Ohio State University and graduated as a civil engineer. I helped design transportation solutions that would reduce fatalities, relieve congestion and promote other forms of transportation. I see my current role in a similar light; I help people avoid making financial mistakes, establish good money habits and suggest beneficial alternatives to their current financial strategies.
My wife, Carissa, and I have four kids (yes, you read that right); Rae, Harry, Lola and Theo. We live in Dublin, where I grew up, and enjoy family movie nights and board games. I am a member of the Dublin Kiwanis association and I love to golf and travel.
Have a quick question or need advice? Give my office a call at 614 336-8683 and I'd be happy to help in any way.
Edward Redder
Understanding Fiduciary Responsibilities, ERISA Compliance & Best Practices
Ed is a member of the firm’s Employee Benefits & Executive Compensation practice group. He previously served as Assistant General Counsel of Nationwide Insurance Company where he advised the company on various employee benefit matters including ERISA fiduciary and qualified retirement plan issues.
Ed counsels clients on all aspects of employee benefits, including compliance with the Employee Retirement Income Security Act of 1974 (ERISA) and other legal requirements applicable to retirement plans and health and welfare benefits plans.
Marilee Lau
EBP Audit Bootcamp
Updated 12.10.19 - MW
"Marilee Pierotti Lau, CPA
Marilee Lau provides consulting services to firms specializing in employee benefit plans which include practice and in house engagement reviews. She also presents and teaches various educational programs on accounting and auditing for employee benefit plans. Before retiring in 2009, Marilee was the National Partner in Charge of KPMG’s Employee Benefit Plan Audit Practice.
She is a founding member and a former Chair of the AICPA Employee Benefit Plan Audit Quality Center’s Executive Committee which was established in 2004. Marilee was the 2011-2013 AICPA’s representative to the DOL’s ERISA Advisory Council. She has served on the AICPA’s Employee Benefits Plans Experts Panel and was the chair of the EBP Audit Guide Overhaul Task Force. She assisted the AICPA in writing the ESOP chapter for the EBP Guide as well as the pension chapters for the State and Local Government Guide. Currently she is heading the task force to write the Multiemployer chapter and is a subject matter expert performing peer review oversights of EBP plans.
Marilee is a former member of the Advisory Board for the Bureau of National Affairs Pension & Benefits Reporter which provided input on various pension issues and has served on the Accountants Committee for the International Foundation of Employee Benefit Plans.
She is a member of the AICPA, California Society of CPA’s, and the International Foundation of Employee Benefit Plans and a frequent speaker for numerous professional conferences and programs. She is a graduate of Santa Clara University with a BS in economics and an MBA in accounting.
"
Peter Zender
Peer Review Update: Hear from the Audit Quality Experts
Kim Conaway
Emerging Technology for an Efficient Audit
Elizabeth Vargo
Risk Management