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Sample Compass Proposal


3(16) FIDUCIARY SERVICES DIRECTING THE EXTRA COMPLIANCE PROTECTION YOU DESERVE We recognize that our clients are often too busy to focus on every nuance in their retirement plan. Our new ERISA 3(16) service helps give an additional layer of fiduciary protection, so our clients and financial advisors can be assured their retirement plans are being well-managed and serviced. PEACE OF MIND We offer direct supervision and approval of certain day-to-day administrative plan duties and contractually take on an additional layer of fiduciary responsibility on behalf of our clients, maintaining a legal stake in the results of how a plan is run. This can give our clients much-deserved peace of mind.

MEET THE LEADERSHIP OFFERING THE RIGHT TEAM FOR YOUR RETIREMENT JOURNEY OUR PRINCIPALS ENROLLED ACTUARIAL AND BENEFITS CONSULTANTS Ana Pinto and Jeffrey Jackson are actuaries and employee benefits consultants. They have worked as actuaries for small and large plan sponsors for a combined 40-plus years, consulting on the design, accounting, and funding of retirement programs. Prior to practicing as actuaries with Compass Retirement Consulting Group, Inc., they were senior actuarial consultants with Watson Wyatt & Co. Ana and Jeff have worked with employers with their retirement plan design, administration, and ongoing employee communication. Clients include Ingersoll-Rand, Bose, ABB, and Sony Music as well as hospitals, retail, and not-for-profit organizations. Their philosophy is to create and nurture a partnership with clients and understand the client’s business needs. It is their belief that the retirement program should integrate with the financial and human resource goals of the client. Ana Pinto / 603-778-9920 x101 Jeffrey Jackson / 603-778-9920 x102 SALES RETIREMENT PLAN SALES CONSULTANTS Chris Paterna specializes in helping financial advisors develop successful retirement plan strategies that make a difference in the lives of their clients. With more than 14 years of retirement plan experience, Chris is known for helping advisors create successful retirement plan programs for their clients. He prides himself on his responsiveness and accessibility, and considers himself to be a member of his advisors’ team. Specializing in plan design and cash balance plans, Chris is regarded as a valuable resource who demonstrates his unique insight on what it takes to help businesses improve their qualified retirement plans. / 781-915-4858 Seth Larner has more than 10 years of retirement plan experience and educates financial advisors, business owners, and CPAs on the importance of a qualified plan. Through this education and emphasis on the importance of proper plan design, business owners and financial advisors come to clearly understand the many benefits of sponsoring and selling retirement plans. Seth has deep experience helping to bring new products to market, building sales pipelines, annuity sales, offering creative solutions to compliance testing challenges, and simplifying discussions around fiduciary responsibility and plan costs. / 603-661-9330 SENIOR BENEFITS CONSULTANTS Linda Diskin has been in the qualified plan/retirement field since 1989. Since that time, Linda has been a crucial part of the design, implementation, and administration of defined contribution plans. In 1999, Linda obtained her Accredited Pension Administrator (APA) designation through National Institute of Pension Administrators (NIPA). In addition to managing the workflow for the defined contribution plans, Linda also consults on the design and administration of over 100 retirement plans for Compass and Compass 360. Jacqueline Sojka joined Compass Retirement Consulting Group in 2015. She has been working in the retirement plan industry since 1996 while a college intern earning a degree in business management. In her 20 plus years of administration and consulting, Jackie has served in many different roles including but not limited to sales, plan design and administration and account management. Jackie is the managing consultant for Compass 360 - fiduciary services. Terri Stafford has been administering and consulting to 401(k) profit sharing plans for more than 30 years. Prior to working in the retirement field, Terri worked in the banking industry and is very familiar with the financial operations requirements of many of the banking/investment firms. She has her designation as an Accredited Pension Administrator from the National Institute of Pension Administrators and is the technical resource for the defined contribution plans at Compass.