Advanced Defined Contribution Plans Audit Certificate Exam Review


8.0 Credits

Through advanced learning exercises, you will prepare for the Advanced Defined Contribution Plans Audit Certificate Exam and grow your expertise with regard to these types of audits. This course will cover each phase of a defined benefit plan audit engagement, from planning to reporting and ensure you are familiar with the most current guidance. Those attending this course will also learn strategies that will help them confidently approach the exam.

Even if you do not plan to take the exam for the certificate, this hands-on course will greatly benefit you in your EBP practice.


When you have completed this course, you should be able to:
• Apply the key concepts and skills for a solid audit foundation specifically related to defined contribution retirement plans.
• Evaluate defined contribution retirement plan-specific audit circumstances and apply key concepts and skills to audit engagements.
• Identify any areas needed for professional development as outline in the AICPA’s Competency Framework: Employee Benefit Plan Auditing.

Major Topics

Advanced Defined Contribution Plans Audit Certificate Exam Review includes:
• Introduction and background
• Planning and general procedures
• Internal control
• Sampling
• Net assets available for benefits
• Investments
• Changes in net assets available for benefit
• Plan tax status
• Plan mergers, transfers, spin-offs
• Terminations
• Changes in service provider
• Financial statement presentation and disclosures
• Audit reports


Recommend 5-7 years of experience auditing defined contribution retirement plans

Advanced Preparation

Participants should have access to a copy of the Employee Benefit Plans – Audit and Accounting Guide


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Monday, August 21, 2017

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Delivery Method - Group Live