Learning Objectives
1. Learn about how effective processes and approaches to defined contribution plan design can align with client objectives and demographics.
2. Understand important provisions of SECURE 2.0 and their potential impact on plan design.
3. Understand how the Department of Labor’s enforcement and compliance focus can impact plan design decisions, as well as how the Department works with and educates plan sponsors.
4. Leave the session knowing some crucial areas of defined contribution plan design so you can better help your clients.
Presenters
Lisa M. Gomez was sworn in as Assistant Secretary for Employee Benefits Security on October 11, 2022. Previously, Gomez was a partner with the law firm Cohen, Weiss and Simon LLP and the Chair of the firm’s Management Committee. She has deep technical and practical experience in the multifaceted field of employee benefits law and has spent almost three decades representing various Taft-Hartley and multiemployer pension and welfare plans, single employer plans, jointly administered training program trust funds, a federal employees health benefit (FEHB) plan, supplemental health plans, and VEBAs covering employees in a wide array of industries.
Lisa served as a Co-Chair of the Board of Senior Editors of the Bloomberg BNA treatise Employee Benefits Law. She also served in various leadership positions with the American Bar Association (ABA) Section of Labor and Employment Law, including as the Union Co-Chair of its Employee Benefits Committee. She is a graduate of the ABA Section of Labor and Employment Law’s Leadership Development Program and served as the Union Co-Chair for that Program. She was a member of the International Foundation of Employee Benefit Plans and the AFL-CIO Union Lawyers Alliance. Lisa was inducted as a Fellow of The American College of Employee Benefits Counsel, Inc. in recognition of her over twenty years of practice in employee benefits law and her contributions to the field, including as a frequent speaker on numerous employee benefits issues. Lisa was also a member of the Advisory Board of The Peggy Browning Fund, a non-profit organization devoted to advancing law students who wish to pursue careers protecting workers’ rights. She previously served as an arbitrator for the American Arbitration Association as well as a volunteer mediator for the New Jersey state courts. She was also a guest lecturer for the Cornell University School of Industrial and Labor Relations on employee benefits. Lisa was named as a Super Lawyer for Employee Benefits on the Super Lawyers New York Metro Annual Lists for 2021 and 2022.
Lisa earned her law degree from the Fordham University School of Law and her undergraduate degree from Hofstra University.
Karen Casillas is a nationally recognized industry advocate specializing in investment advisory, retirement plan consulting, and fiduciary governance services. Joining CAPTRUST in 2012, she previously held leadership positions within Fidelity Investments and American Funds. Karen is passionate about creating exceptional client and employee experiences, financial wellness, and delivering actionable and impactful guidance.
Karen received her B.S. in economics from University of California, Davis, and passed FINRA Series 6, 7, 8, 24, 26, 63, 66 exams. She is a Board member for WP&BC San Francisco, and past-President for WP&BC Los Angeles. Within CAPTRUST, Karen is Co-Chair of the Women’s GROW Initiative, a Peer Group Co-Leader, mentor, and CAPTRUST Community Foundation Grant Committee member. She volunteers as a sustainer for National Charity League Vista, and Chairman of the Assistance League of Ventura County’s Investment Committee. Awards include NAPA Top 50 Female “All Star Advisor” 2015-2022 and Top 100 DC Advisor Teams 2017-2022.
Theresa Conti has been a leader in the Retirement Plan industry for more than 30 years. In the early days of her career she felt that she could offer clients more personalized service and consulting than they were getting with traditional TPA firms, so she decided to start her own firm in 1998, Sunwest Pensions. Theresa holds a QKA (Qualified 401(k) Administrator) designation with ASPPA and an APR (Accredited Pension Representative) designation with NIPA. In 2011, she earned her Enrolled Retirement Plan Agent (ERPA) designation with the IRS. In 2019, she earned her CPFA (Certified Plan Fiduciary Advisor) with NAPA. In 2023, she sold her firm and is now a Senior Consultant with July Business Services.
In 2016, Theresa was awarded NIPA’s Lifetime Achievement Award for her service to the industry. She is also a frequent speaker at industry conferences and events and is quoted frequently in industry publications. She has also been on advisory boards for several of the industry’s leading financial firms. In 2022, she was added to the Board of WIPN (WE Inspire. Promote. Network). She has dedicated her career to sharing her expertise throughout the industry and with her clients.
James Goldstein is a Senior Technical Advisor with the US Department of Labor, Employee Benefits Security Administration, Los Angeles Regional Office. During his two-decade career with the agency, he has worked on many large civil and criminal investigations involving single-employer and multi-employer sponsored health and retirement plans. Mr. Goldstein is a graduate of the University of California, Berkeley and the University of the Pacific, McGeorge School of Law, where he received an American Jurisprudence Award in Constitutional Law and earned a JD with honors. In 2012 he served as an adjunct professor at Southwestern Law School, where he co-taught a course in employee benefits law sponsored by the Department of Labor. Mr. Goldstein frequently speaks on EBSA’s enforcement program before various industry groups.
