Compass Compliance Questionnaire


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An overview of the employer information that will be needed to complete this questionnaire can be found here.

When completing this section of the Account Setup Questionnaire you will need to have access to the following plan documents:
    • Executed Adoption Agreement
    • Summary Plan Description
    • Investment Policy Statement
    • ERISA Fidelity Bond
    • Fiduciary Liability Policy
    • Committee By-Laws
    • Service Provider Contracts

    Please note: the setup questionnaire cannot be partially completed, saved and finished at a later time. To download a complete copy of the questionnaire prior to completion, click here.

    Contact Information

    Please indicate the point person at your company that we should contact if there are questions about this setup.

    Build Employer

    This section will ask for basic company information.

    Enter the employer name. This should be the company that sponsors the group benefit plan(s).
    Enter the employer/company address.
    Enter the employer/company phone number.
    This can be an estimate. Full-time employees and part-time employees each count as one. Please note that you may be asked for additional employer size information later in the questionnaire.

    Define Plan Type - Hidden

    Define Plan Sponsor

    Indicate the type of plan sponsor below.

    Private sector employers include C Corps, S Corps, Partnerships, LLCs, Not-for-Profits, or other employers engaged in the private sector.
    Nonfederal government employers include state government, state funded hospitals, local government or schools.
    Church employers include churches, conventions or associations of churches that are exempt from tax under Code §501.