Higher Education Retirement Plan Survival Guide
Continued class action lawsuits against retirement plans has put colleges and universities under considerable pressure by participants, counsel and vendors. Which is often confusing and difficult to manage. In addition, higher educational institutions are subject to pressure to reduce expenses while expanding programs creating conflict to where resources should be applied to attract, retain and matriculate faculty, staff and students. Effective retirement plan compliance requires that key administrators and staff have a thorough working familiarity with retirement plan regulatory framework and best practices.
In this LIVE Webcast, a team of thought leaders assembled by The Knowledge Group will give a boot camp on how colleges and universities can increase the effectiveness of their retirement plan compliance program and best practices. The panel will discuss best practices on how to coordinate and to monitor essential plan operations, conduct investment option assessments, manage and report appropriately to regulatory agencies, implement financial stewardship, and spot and respond to red-flag situations.
Key Topics Include
- Regulatory Overview
- Class Action Lawsuit Update
- Best Practices for:
- Fund performance measurement
- Fund fee analysis
- Fund selection
- vendor management & analysis
- Risk Assessment
- Data Management and reporting for annual audit & best practices
- A plan sponsor’s view
- Fiduciary Stewardship & Call to action
- On-going review & oversight
W. Andrew Larson, Director of Retirement Education, Retirement Learning Center, LLC
Columbia Threadneedle Investments
- High level overview of topical areas
David Delgado CPA, Partner
Crowe Horwath LLP
- Should your plan be audited – understanding the audit requirement for 403(b) plans.
- Is your plan document correct and update to date? Does it agree with the plan’s administration?
- Is the appropriate compliance testing being performed?
- Are all contracts being considered?
- Are employee contribution being made on a timely basis?
Mark Glatley, Retirement Plan Investment Consultant
JP Morgan Asset Management, Defined Contribution Investment Services
- Top-of-mind plan sponsor concerns. How sponsors can streamline their plans in an effort to improve participant outcomes and lower fiduciary risk.
Rebecca Vazquez-Skillings, Vice President for Business Affairs
- Specific applications in higher education
Who Should Attend:
- Deans, Chancellors and Provosts
- Financial Aid Administrators
- Compliance Officers
- Comptrollers and Bursars
- Information Technology Officers
- Information Officers
- Student Services Officers
- Campus Security Officers
- General Counsel
Mark Glatley, Vice President, is a client advisor within the Defined Contribution Investment Services Advisor team. He joined the firm in 2012 and works with consultants and advisors throughout the Ohio Valley region. Mark has over twenty years of experience within the retirement industry. Prior to joining J.P. Morgan, Mark spent five years with AllianceBernstein and twelve years with Charles Schwab.
While at Schwab, Mark consulted on DC and DB plans in the large and mega market. He consulted with committees around plan design and best practices. Mark holds his QKA (Qualified 401k Administrator) designation from ASPPA and his AIF (Accredited Investment Fiduciary) designation. Mark is a graduate of Western Connecticut University and resides in Solon OH with his wife and their four children.
Mark is a graduate of Western Connecticut University, has a qualified 401(k) Administrator (QKA) designation and is a holds a Series 7.
Mark Glatley, Vice President, is a client advisor within the Defined Contribution Investment Services Advisor team. He joined the firm …
Mr. Delgado has 29 years of experience with Crowe Horwath LLP, specializing in the areas of employee benefits and qualified retirement plans. He is a Partner in the Benefit Plan Services group in the Oak Brook, Illinois office.
Mr. Delgado has 29 years of experience with Crowe Horwath LLP, specializing in the areas of employee benefits and qualified …
With over 30 years of experience in the financial services industry, Andy Larson is a respected authority and a frequent lecturer and author on industry topics.
Mr. Larson’s background includes extensive product design for plan sponsors and advanced sales support for intermediaries who work with qualified plans. As a retirement industry executive, he ran the consulting and training group for Universal Pensions, Inc. (UPI) and headed the BISYS Corporate University. Mr. Larson has served as an adjunct professor for the Central Lakes College system in Minnesota and provides expert witness services on numerous industry topics.
He is the co-author of the Retirement Learning Center’s book, Retirement Resource Guide: Essential ERISA Education & Best Practices for Financial Advisors, winner of multiple APEX Awards for publication excellence and available exclusively through Columbia Threadneedle Investments.*
A graduate of the University of St. Thomas in St. Paul, Minnesota, Mr. Larson maintains a Certified Pension Consultant (CPC) designation from the American Society of Pension Professionals and Actuaries
With over 30 years of experience in the financial services industry, Andy Larson is a respected authority and a frequent …
Rebecca Vazquez-Skillings currently serves as the Vice President for Business Affairs at Otterbein University. Prior to coming to Otterbein in 2010, she served as the assistant vice president for budget planning and analysis at Ohio University.
Vazquez-Skillings has extensive experience in finance and administration in the education and state government sectors. In the Office of Budget and Management (OBM) for the State of Ohio, she served as chief of education with oversight for primary, secondary and higher education related biennial operating and capital budgets; senior analyst for higher education; and analyst for school facilities and administrative services. Prior to joining the Office of Budget and Management, she worked in the Office of the Governor for the State of Ohio as assistant for criminal justice, public safety and regulation, and with budget office of the Ohio Department of Human Services.
Rebecca’s service to community and profession includes: current member of the Ohio Board of Education; member of the National Association for College and University Business Officers Small Institutions Council; and member of the local Westerville Area Chamber of Commerce. Vazquez-Skillings earned her bachelor's degree from Kenyon College and her master's degree in public administration from The John Glenn School of Public Affairs at The Ohio State University with a concentration in education finance.
Rebecca Vazquez-Skillings currently serves as the Vice President for Business Affairs at Otterbein University. Prior to coming to Otterbein in …
Print and review course materials
Method of Presentation:
Experience in employee benefits law
NASBA Field of Study:
Management Services - Technical
NY Category of CLE Credit:
Areas of Professional Practice
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About MCF Institutional
MCF Institutional is an independent institutional investment management firm. We objectively serve organizations as a fiduciary partner in a conflict-free relationship. Our approach is to reduce risk to your organization through contemporary thought leadership. Our focus is delivering Procedural Prudence to our clients through a fiduciary partnership.
About JP Morgan Asset Management, Defined Contribution Investment Services
As a leading provider of comprehensive retirement solutions, J.P. Morgan Asset Management is dedicated to providing the support you and your plan sponsor clients need to build stronger DC plans. With $1.8 trillion in assets under management (AUM)1, more than 1000 investment professionals and over a century of investment experience, J.P. Morgan’s retirement solutions are supported by the full resources of a global financial leader.
OUR HOLISTIC APPROACH AND RETIREMENT COMMITMENT
Our mission is to be our clients’ premier partner in helping individuals achieve a successful retirement. We believe in consultative relationships that approach client challenges and goals with an integrated perspective and unique understanding of the interplay between investments, plan design, administration and communications. Our best thinking and insights from across the firm influence the development of new investment strategies and services that clarify the challenges your clients face.
For more information on our retirement strategies and solutions, contact your J.P. Morgan representative.
1J.P. Morgan Asset Management as of 12/31/16.
About Crowe Horwath LLP
Crowe Horwath LLP is a public accounting, consulting, and technology firm with offices around the world. Connecting deep industry and specialized knowledge with innovative technology, our dedicated professionals create value for our clients with integrity and objectivity. By listening to our clients, we learn about their businesses and the unique challenges they face. We forge each relationship with the intention of delivering exceptional client service while upholding our core values and strong professional standards. We invest in tomorrow because we know smart decisions build lasting value for our clients, people, and profession.
About Columbia Threadneedle Investments
Columbia Threadneedle Investments is a leading global asset management group that provides a broad range of investment strategies and solutions for individual, institutional and corporate clients around the world. With more than 2,000 people, including over 450 investment professionals based in North America, Europe and Asia, we manage $454 billion of assets across developed and emerging market equities, fixed income, asset allocation solutions and alternatives (as of 12/31/16). Columbia Threadneedle Investments is the global asset management group of Ameriprise Financial, Inc. (NYSE: AMP)
About Otterbein University
Otterbein University is a small private university nationally-recognized for its intentional blending of liberal arts and professional studies through its renowned Integrative Studies curriculum and its commitments to experiential learning and community engagement. Otterbein is a recipient of the 2015 Carnegie Community Service Classification; a finalist for the 2014 President’s Award for Economic Opportunity Community Service; and has been honored With Distinction by the President’s Higher Education Community Service Honor Roll since the list’s inception in 2006. It stands in its category’s top 10 percent in U.S. News & World Report’s guide to “America’s Best Colleges.” Otterbein offers more than 70 undergraduate majors; seven master’s programs; and a doctorate in nursing practice (DNP). Its picturesque campus is perfectly situated in Westerville, Ohio, America’s fifth friendliest town (Forbes), just minutes from Columbus, the 15th largest city in the country. Otterbein’s commitment to opportunity started with its founding in 1847 as one of the nation’s first universities to welcome women and persons of color to its community of teachers and learners, which now numbers 2,400 undergraduate and 500 graduate students. Otterbein remains committed to its relationship with the United Methodist Church and its spirit of inclusion, and welcomes people of all backgrounds to Otterbein’s Model Community.