Program
Join us for an engaging and interactive Technical Lunch as our ERISA audit experts take a candid look at the most common issues, findings, and real-world challenges encountered in employee benefit plan audits. ERISA Unplugged is designed as an open conversation, where our panel of auditors will respond to curated questions covering key areas such as participant data and eligibility, contributions, plan operations, loans and distributions, and compliance pitfalls.
Using the discussion topics and questions compiled in advance, our auditors will share insights, lessons learned, and practical strategies for improving audit efficiency, accuracy, and client communication. Whether you’re an experienced ERISA professional or newer to plan audits, this session will offer valuable perspective on how to navigate complex plan provisions, handle compensation definitions, and avoid common missteps.
Join us for lunch and bring your curiosity, and questions – and get ready for a dynamic, unplugged conversation with the experts who live and breathe ERISA audits.
Speakers
Samantha Graboff, Partner, Audit & Assurance Services
Samantha is a Partner in the firm’s Audit & Assurance Services department. She has over 20 years of experience with audit procedures for ERISA plans, privately held companies, and nonprofit organizations. Her practice focus includes all stages of the audit process, including planning, risk assessment, evaluation of internal controls, and financial statement reporting. Samantha specializes in audit and consulting services to employee benefit plans of private, public, and nonprofit plan sponsors, including 401(k), 403(b), profit-sharing, health and welfare, defined benefit, MEPs, and ESOPs. Samantha is currently the president of the Orange County Chapter of Western Pension.
Lisa Carrick, Partner, Audit & Assurance Services
Lisa joined Windes in 2004 and is a Partner in the firm’s Audit & Assurance Services department. Her practice focus includes financial statement reporting, evaluation of internal controls and business consulting services for privately-held businesses. Lisa has over 20 years’ experience providing audit and consulting services to employee benefit plans of private, public and nonprofit plan sponsors, including 401(k), 403(b), profit-sharing, and ESOP plans.
J. Ryan Rold, Managing Director
Ryan is a shareholder in the Phoenix office's audit and accounting services division of CBIZ CPAs. He is also CBIZ CPAs' West Region Employee Benefit Plan Audit Leader. Ryan has over 25 years of experience with auditing employee benefit plans including defined contribution, defined benefit, health and welfare, and employee stock ownership plans. Ryan was previously the president and treasurer of the Phoenix Chapter of Western Pension.
Nicole Aguilar, Principal
Nicole is a principal at CLA with more than ten years of experience with the employee benefit plan practice where she focuses on providing assurance services to plan sponsors and third-party administrators. Nicole enjoys auditing employee benefit plans because she feels she is providing a valuable service to the plan sponsor and the plan’s participants. Nicole has extensive experience auditing 403(b) plans as well as: defined contribution plans, defined benefit plans, and health and welfare plans.
Continuing Education
2 CE for AIF
2 CPEs for ASPPA certifications
2 CECs for NIPA certifications
2 hours for California CPAs
1.5 hours of California MCLE
2 hours for Certified Financial Planners
2 CE for CRPS
2 CE for CEBS
Pricing
-Member: $45
-Non-Members $75
Doors open at 10:30 am for check-in and networking. Our program will begin at 11:00 am and end at approximately 1:00 pm, a boxed lunch will be served during the program.