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  • Jordan Cross

File Organization and Compliance Checklist


As a Retirement Plan Sponsor, Trustee, Primary Contact or Financial Advisor, a file organization checklist can help you or your clients organize documents that will keep your audit file ready and historic records up-to-date to assist with periodic reviews of your plan. These documents should also be readily on hand in the event that a DOL, IRS or plan auditor shows up or you are looking to schedule your annual Trustee Committee Meeting. This becomes easier when the plan sponsor or trusted Financial Advisor maintains an online filing cabinet for these and other plan documents.

These files are always available 24/7 on the CrossPlans portal and a member of our team is always ready to help you access the web portal, but we recommend keeping this checklist on hand and periodically reviewing with your Retirement Plan team!


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