The Problem
You're responsible for ensuring retirement plan fiduciary compliance, but the regulatory risk is constant and the stakes are high. One misstep under ERISA can trigger audits, penalties, and client distrust. This playbook eliminates the guesswork, giving you a field-tested system so you can act with confidence from day one.
What You Get
12-Module Course in Fiduciary Compliance and Retirement Plan Oversight
- ✓ ERISA Fiduciary Duties: Roles, Standards, and Legal Boundaries
- ✓ Regulatory Landscape: DOL, IRS, and PBGC Requirements
- ✓ Fiduciary Risk Assessment and Mitigation Strategies
- ✓ Plan Document Compliance and Amendment Management
- ✓ Investment Policy Statement (IPS) Design and Governance
- ✓ Prohibited Transactions and Exemption Frameworks
- ✓ Fiduciary Liability Insurance and Risk Transfer
- ✓ Annual Compliance Testing and 5500 Filing Protocols
Ready-to-Use Implementation Files for Immediate Deployment
- ✓ Fiduciary Responsibility Matrix with Role-Specific Accountability
- ✓ ERISA Compliance Gap Analysis with Regulatory Citation Tracker
- ✓ Plan Sponsor Due Diligence Checklist (Vendors, Investments, Fees)
- ✓ Fiduciary Decision Log Template with Audit Trail
- ✓ Investment Policy Statement (IPS) Builder with Benchmarking Logic
- ✓ Prohibited Transaction Risk Screen with Exemption Crosswalk
- ✓ Annual Fiduciary Meeting Agenda and Minutes Framework
- ✓ 408(b)(2) Disclosure Review and Fee Transparency Dashboard
- ✓ Fiduciary Training Completion Registry and Tracking Log
- ✓ DOL Audit Response Kit with Document Request Tracker
- ✓ Fiduciary Governance Scorecard with Maturity Levels
- ✓ Fiduciary Oversight Roadmap (12-Month Implementation Timeline)
How It Is Organized
Start with the course to build a structured, comprehensive understanding of fiduciary compliance under ERISA. Once you've mastered the core concepts, move directly into the implementation toolkit to apply what you've learned. The 48 professional files are organized across 10 practitioner journey folders so you can progress logically from setup to execution: Getting Started gives you onboarding checklists and priority assessments; Assessment & Planning includes gap analyses and risk screens; Models & Frameworks delivers IPS templates and decision matrices; Processes & Handoffs ensures smooth coordination with counsel and plan administrators; Operations & Execution contains runbooks for annual testing and disclosures; Performance & KPIs tracks fiduciary meeting cadence and compliance milestones; Quality & Compliance provides audit checklists and DOL response tools; Sustainment & Support includes training logs and policy update workflows; Advanced Topics covers prohibited transactions and co-fiduciary liability; and Reference houses regulatory citations, sample documents, and practitioner insights.
This Is For You If
- You have been asked to build a fiduciary compliance program for retirement plans and need to deliver a governance framework by next quarter
- You're a financial advisor or third-party administrator responsible for proving compliance but lack a standardized system
- You've received a DOL audit letter and need to respond with organized, defensible documentation
- You're onboarding new retirement plan clients and must demonstrate rigorous fiduciary oversight to win trust
- You're training junior staff on ERISA compliance and need a consistent, teachable methodology
What Makes This Different
The course gives you a complete, step-by-step mastery of fiduciary compliance under ERISA, from foundational duties to advanced risk mitigation. The toolkit gives you the exact files you need to implement that knowledge, no abstraction, no rework.
Every template is designed to be filled in immediately, using real-world data from your practice. The included Pro Tips sections reveal common pitfalls, such as misclassifying functional fiduciaries or missing 408(b)(2) renewal dates, so you avoid costly errors before they happen.
This system was built by a team with 25 years of experience managing fiduciary risk in retirement plan design and oversight. You're not getting fragments from a blog or a generic compliance guide. You're getting the full architecture used by leading firms to maintain clean audits and trusted client relationships.
Get Started Today
The Retirement Plan Fiduciary Compliance Playbook gives you a complete, proven system: structured learning that builds expertise, and implementation files that turn knowledge into action. Instead of spending months researching regulations and building templates from scratch, you can begin executing a compliant, defensible fiduciary framework immediately. Focus on advising and governance, not reinventing the wheel.
