Carrie Roberts has over 20 years of experience as an employee benefits paralegal and retirement plan consultant. She has extensive experience drafting and amending qualified retirement plans, managing plan terminations, and ensuring ongoing compliance. She also advises clients on new regulations and leads educational presentations. Carrie is proficient in all aspects of retirement plans, including defined benefit, defined contribution, and ESOP plans.

1. Carrie A. Roberts
Chicago, IL 60613
312-401-8901
CarrieRobertsRivera@gmail.com
https://www.linkedin.com/in/carrie-roberts-rivera-cebs-5332443/Twitter
Employee Benefits Paralegal and Retirement Plan Consultant Overview:
Trained in the legal field as an Employee Benefits Paralegal/Retirement Plan Consultant with a
passion to help clients with each stage of a retirement plan and meet them where they are in the
process. Experience with setting up a retirement plan, ongoing compliance and ending the journey
of the retirement plan that is ready for termination and distribution, all of which require the ability
to move projects forward, on time and on budget. Prepared hundreds of accurate and timely
participant communications, letters, statements, and regulatory notices. Energized when
interacting with clients and representatives about new legal changes, teaching others to understand
ERISA and other pension laws and regulations, and better ways to organize and problem solve.
Proven leadership skills, confidence, and problem-solving abilities with years of experience
working on qualified plans – both defined contribution and defined benefit. Seek reasonable
solutions with a strong commitment to producing exceptional customer service, using effective
communication and interpersonal skills.
Qualification Brief:
• Talented project manager with proven ability to communicate among advisors, CPAs, and
attorneys regarding the operation of plans
• Extensive knowledge on legislative regulations of retirement plans, published client alerts
and speaker presentations for clients and peers
• Served as primary contact and expert with responsibility for client retirement plans and as
a resource for technical issues internally
• Strong problem-solving resource for several clients and attorneys, providing analytical
skills and attention to detail on multiple tasks and others in a consulting and coordinator
capacity
• Highly effective collaborator within all levels and departments of the organization
• Areas of subject matter expertise: employee benefits, qualified plans, ESOPs, 401(k)
plans, defined contribution plans, defined benefit plans, cash balance plans
• Computer proficiency, including with Microsoft Office (Excel, Outlook, Word and
PowerPoint); experience with Relius and Relativity
Professional Experience:
Holland & Knight LLP – Chicago, IL September 2018 – Present
ESOP and Employee Benefits Paralegal
• Assisted client and internal team during compliance review for a qualified plan, including
reviewing spreadsheets, test cases and specifications provided by client and recordkeeper
for analysis of plan operations to determine source of errors and inconsistencies found

2. • Collaborated with practice group in all aspects of the corporate deal process and
performed due diligence and identified issues arising under the Internal Revenue Code
and ERISA to reduce cost of errors and potential fiduciary problems
• Composed over 10 determination letter applications for newly established ESOPs and
terminating ESOPs, and responded to the IRS agents’ information requests as needed
• Updated ESOPs, 401(k) plans, and other pension plans, as needed for legal changes
• Advised clients and ESOP team and communicated clearly technical changes, including
presentation webinar and client alerts (loans, hardships, design preferences, claims
review procedures, SECURE Act and CARE Act)
• Designed summary plan descriptions (SPD) and summary of material modifications
(SMM)
• Managed the preparation and filing of submissions under the IRS’s Voluntary
Compliance Program (VCP) and engaged the implementation and utilization of options
under the Self-Correction Program (SCP)
• Collaborated with corporate clients and ESOP trustees regarding results of qualified plan
transaction matters following review of documents
• Conducted due diligence and identified issues arising under the Internal Revenue Code
and ERISA to reduce cost of errors and potential fiduciary problems
• Developed procedures for clarifying distributions and technical aspects of the plans to
reduce future research, compliance efforts or inefficiencies
Katten Muchin Rosenman LLP – Chicago, IL February 2008 – August 2018
Employee Benefits Paralegal
• Served as lead contact to clients addressing various questions and concerns, specifically
for pension plans (defined benefit plans), ESOPs, 401(k) plans and other defined
contribution plans
• Acted as subject matter expert, consultant and backstop for qualified plans and related
compliance issues, including write client alerts on IRS and Department of Labor
compliance programs
• Amended and restated qualified plan documents for legal changes and optional changes
that would best benefit companies and their employees
• Facilitated defined benefit and defined contribution plan terminations, including
coordinating all communications and projects among clients, actuaries, consultants and
attorneys, and preparing IRS and PBGC filings and participant notices
• Attended client quarterly qualified plan administration and investment committee
meetings concerning fiduciary duty, review of investment performance and goals of each
401(k) plan fund, design of employee and executive plan and compensation
• Established organized electronic database for several clients creating ease of document
location and sharing of information during review of contracts and amendment of plans

3. Drinker Biddle & Reath LLP – Chicago, IL November 1996 – January 2008
(formerly, Gardner Carton & Douglas LLP and now Faegre Drinker)
Employee Benefits Paralegal
• Acted as consultant and professional advisor for several key clients of the department by
organizing and managing projects among board members, attorneys, consultants, trustees,
and actuaries
• Drafted hundreds of summary plan descriptions (SPD), summaries of material
modifications (SMM), plan documents, government filings, IRS Forms 5500, summary
annual reports (SAR), IRS determination letter filings (IRS Forms 5300, 5310, 5307)
• Reviewed domestic relations orders to determine qualified status and prepare client
procedure packages for QDROs, including sample letters, notices, authorizations, and
sample QDROs
• Actively participated in the selection and training of paralegals and attorneys
Education:
Certified Employee Benefits Specialist (CEBS Program) – Chicago, IL November 2000
o Co-sponsored by the International Foundation of Employee Benefit Plans and the
Wharton School of the University of Pennsylvania
University of Chicago – Chicago, IL June 1996
o BA in Public Policy (with Honors)
Skill Keyword Summary:
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plans ESOP business development health welfare plans executive compensation ERISA litigation
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planning communication legal research writing communication author articles white papers
published management project coordination QDRO qualified domestic relations order policies
consultant professional advisor consulting regulatory examination retirement plan retirement
plans pension plan pension plans defined contribution plans defined benefit plans 403b 401k
code section 401(k) 403(b) 401(a) DB plan presentation management