Do your clients know their fiduciary responsibilities?

ComplianceDashboard® 401(k) gives fiduciaries a process for understanding, organizing, tracking, and completing the compliance responsibilities associated with the retirement plans they sponsor.

It’s a common misconception that a third party can perform all of a plan sponsor’s retirement plan compliance tasks. When it comes to plan governance, plan fiduciaries are held personally liable.

How ComplianceDashboard® 401(k) works


Each Dashboard contains only information that’s relevant to the client’s retirement plan fiduciary duties.


All plan governance requirements are organized together in one calendar, so it’s easy to keep track of tasks.


When it’s time to complete a task, a notification is delivered straight to the client’s inbox.


Record activity, generate on-demand reports, and store documents for internal management or audit purposes.

The Benefits of 401(k) Compliance

  • Improved financial outcomes for both plan sponsors and participants
  • Increased preparation in the case of a DOL or IRS audit
  • Reduced probability of claims filed in court
  • Ongoing culture of compliance for the organization
  • Increased competency, organization, and efficiency for plan sponsors.

Get Started with ComplianceDashboard® 401k

Email our business development team to learn more.

Are you an employer? Just let your adviser know about ComplianceDashboard® 401(k), and we’ll take care of the rest.

Download the ComplianceDashboard® 401(k) Employer Flyer.

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