This guide is intended to give a quick tour of how the ftwilliam.com Compliance Module works. Many features of the software are not discussed in this guide but are explained in the Compliance Module User Guide. You can access the full User Guide by clicking on the Wolters Kluwer drop-down at the top left of any screen. Select “Support” then “User Guides”. Contact support@ftwilliam.com or (800) 596-0714 with specific questions.
Here is our suggested order of tasks for the Compliance Module – for more details continue reading the QS Guide.
Screen | Task |
Home | Select a plan, then select the Compliance Module |
Compliance | Add a new plan year end |
Plan Specifications=>Edit | Review and edit plan specifications. Set up sources, and investment accounts if applicable |
Census=>Edit | Make sure the primary census grid selected is appropriate; if not change it |
Census=>Download=>Current | Open the worksheet for the census; add data and save as .csv file |
Census=>Upload | Upload the saved worksheet |
Census=>Other Import/Export/Reports | Add the first year supplemental grid and enter any additional data required |
Tasks | Expand Top Heavy Test; if appropriate, code the plan as top heavy as of determination date “Yes” |
Tasks | Expand Scrub/Eligibility; review parameters, run the data scrub. Review the results screen and address any errors. Review all the scrub reports for accuracy |
Tasks | Expand Allocation; review and enter parameters, run the allocation and review the reports |
Tasks | Expand Combined Test; review parameters, run the test and address any failures |
Tasks | If required, expand ADP/ACP Test; review parameters, run the test and address any failures |
Tasks | If required, expand General Test; review parameters, run the test and address any failures |
Transactions | Upload or add transaction data; post batches |
Tasks | Expand Top Heavy Test; review parameters for next year, run the test |
Tools/Settings=>Print Setting=>Global | Add default client letter; review/modify print styles; set global “Prepared by” |
Tools/Settings=>Print Setting=>Plan Level | Review and adjust print styles |
Tasks | Select reports and print client package |
Additional help is available in the Compliance User Forum. You can access the forum at https://ftwilliam.zendesk.com/home. If you already have an account you can log in; if not you’ll need to click the link to create a password. Once logged in, go to “Compliance Module Users Forum - you’ll see a number of topics that you can read for help using the software. Feel free to add your own suggestions or questions.
