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Event Details

    Surviving a Department of Labor Audit

    Date: November 11, 2015, 11:45am – 1:30pm
    Mt. Baker Chapter of SHRM
    Northwood Hall
    3240 Northwest Avenue
    Bellingham, WA 98226
    See below for prices
    Event Type:
    Chapter Luncheon/Speaker/Meeting
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    Surviving a DOL audit

    Most employers do not think an audit will happen to them. In fact, when the term audit is mentioned most of the time HR professionals are thinking of the internal audit they pay their accountant to perform which is in stark contrast to a full DOL audit. 

    The team from Alliant will be here to discuss why the department of labor conducts audits, what they are looking for and how to be properly prepared. As a firm founded on the premise of risk management their team has developed a program to coach HR professionals on how to survive a full scope DOL audit of both health care and retirement plan administration.

    About the Presenters:

    Stephanie Roupe

    Stephanie Roupe acts as First Vice President of Alliant Retirement Services in the Northwest Region. Stephanie has her Masters of Business in finance from Seattle University and has almost ten years of benefits related experience. She specializes in retirement plan consulting for all types of organizations including for and non-profit firms and government entities. Her holistic approach to retirement plan consulting allows her to use complete objectivity when delivering tailored solutions to each client. She covers all aspects of plan management including vendor negotiation, investment management, benefit design, fiduciary liability and compliance management and employee education and engagement.

    Stephanie services organizations of varying industry and size including start-ups. Her mission is to elevate financial literacy in each of the organizations she touches and to deliver engaging and transparent retirement programs to her clients.

    Stephanie lives in Ballard with her husband Joe and is an avid runner and skier and highly engaged in community volunteer activities as she serves on multiple boards and committees and is in her 3rd year as a Junior League Leader.

    Julie Gutenplan

    Julie Gutenplan brings eight years of experience in the employee benefits arena. Julie’s consulting approach starts with evaluating each organizations employees, culture, and challenges then crafting a tailored strategy. Her typical clients are a mix of fully insured and self-funded, multi-state/location, and have implemented some sort of CDHP. She previously worked for Assurant Employee Benefits where she specialized in life, disability, and dental insurance.

    Julie completed her MBA in Project Management from Capella University (2009) and has a BA in Theatre Arts from California State University, Long Beach (2004). Julie has a certificate in Employee Benefits from the International Foundation of Employee Benefit Plans.


    Download the presentation here.

    This information is property of Alliant. Please do not duplicate or distribute.


    Register Here


    • Member Lunch & Program: $20.00
    • Non-member Lunch & Program: $25.00
    • Program Only: $12.00
    • Student Lunch & Program: $12.00
    • Student Program Only: FREE

    We are now offering the option of pre-payment for events, using Eventbrite. Once you register, you will be given the option to click on a link to pay immediately. Eventbrite charges a small "convenience fee" for this service.

    If you are not able to or do not want to pre-pay, we accept payment in the form of cash, check, or credit card and must be paid at the time of check-in at the event. See cancellation policy below.


           *This program is approved for SHRM-CP and SHRM-SCP credit.



    *This program is approved for 1 General HRCI credit

    The use of this seal is not an endorsement by the HR Certification Institute of the quality of the activity.  It means that this activity has met the HR Certification Institute’s criteria to be pre-approved for recertification credit


    Registration and lunch begin at 11:45, and include time for networking with other members and chapter announcements. The presentation/program begins around 12:00pm and lasts until approximately 1:30pm (includes a question/answer period).

    Cancellation policy: Registrants will be billed the full price of the event if a cancellation is not received by 5:00 pm on the Monday prior to the luncheon.

    To Cancel an Existing Reservation send the names of the attendees and the date of the event you cannot attend to

    The legal information provided by speakers at our monthly meetings is a service to our members, their guests and other attendees. It is intended to be a source of general information, not opinion or legal advice on any specific situation and does not create an attorney-client relationship with any individual. If you would like more information about any of the legal topics, you are urged to consult with an attorney who is experienced in the particular area of interest. If you need assistance with human resource or labor relations functions, we may be able to refer you to an experienced consultant.