SOC 2 Compliance Audit & Certification focuses on assessing the internal controls of a service organization. In an era where data security and process integrity are paramount, these certifications are essential for demonstrating excellence in information security.
What is SOC 2 Compliance?
SOC 2 (Service Organization Control 2) is a framework for managing data security and privacy, developed by the American Institute of CPAs (AICPA). It focuses on five trust service criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy. These principles ensure that service providers manage customer data securely and responsibly.
Types of SOC 2 Compliance Audits
SOC 2 Type I Audit
- Snapshot in Time: A Type I audit evaluates your organization’s systems and controls at a specific moment in time. It’s akin to taking a photograph of your security and compliance posture.
- Scope and Purpose: This audit assesses whether your systems are correctly designed to meet the relevant trust principles. It’s a preliminary step, demonstrating your commitment to security and compliance.
- Ideal For: Organizations new to SOC 2 compliance or those that have recently implemented new systems or controls.
SOC 2 Type II Audit
- Extended Evaluation: Unlike Type I, the Type II audit is more like a documentary. It examines the operational effectiveness of your systems over a period, typically six to twelve months.
- In-depth Analysis: This audit goes beyond design and delves into how effectively these controls operate over time. It’s a rigorous test of your compliance stamina.
- Best Suited For: Organizations that have matured in their compliance journey and are ready to demonstrate long-term, consistent adherence to SOC 2 standards.
The choice between a Type I and Type II audit depends on several factors, such as your organization’s maturity in SOC 2 processes, the requirements of your clients or stakeholders, and your long-term compliance goals.
The SOC 2 Compliance Audit Journey: A Step-by-Step Guide
- Pre-Assessment Initial Review: Begin with a thorough review of your current controls and processes. This stage sets the foundation for a successful audit.
- Pre-Assessment Gap Analysis: Identify areas where your current practices deviate from SOC 2 requirements. This analysis helps in prioritizing improvements.
- Determining the Scope: Decide on the trust service principles applicable to your organization. Not all companies need to comply with all five; your business model will dictate your requirements.
- Documenting & Evidence Gathering: Compile evidence demonstrating your adherence to SOC 2 criteria. This evidence includes policies, procedures, and system configurations.
- Remediation: Work on closing any identified gaps. This might involve updating technologies, processes, or training staff.
- The Audit: An independent CPA or auditing firm conducts the SOC 2 audit, reviewing your controls and their effectiveness over time.
- The SOC 2 Report: Post-audit, you’ll receive a report detailing the auditor’s findings, including areas of non-compliance, if any.
Client Speak
{In an age where cyber threats constantly evolve, having a trusted ally like Security Brigade is essential. The Security Brigade team consistently delivered well-structured reports that spotlighted critical vulnerabilities and potential security weaknesses. These reports were accompanied by actionable recommendations, allowing our teams to prioritize and rectify issues efficiently. Professionalism, responsive, and depth of expertise well appreciated, and we are happy to have engaged Security Brigade as our VAPT provider.
Juby Pappachan
Senior Manager - InfoSec, Botree Software 
{We started working with Security Brigade as a cost effective solution for doing VAPT for applications and networks for our customers. But we have developed a great partnership with Security Brigade over the last 6+ years. They treat our customers as their own customers and provide solutions and do the activities as per agreed terms and sometimes even they don’t mind going beyond and deliver to customer. We will be happy to continue working with them and refer others as well.
Gobinda Chandra Patra
CEO and Co-Founder, ISIT Consultants 
{I have been using Security Brigade services for the past fourteen years. In my role as leading the cybersecurity Initiative at multiple national system integrators in India, I have worked with them to provide VA/PT, External Attack Surface Management, and Red Teaming services to large corporate customers. In each case they have met or exceeded expectations resulting in repeat business. I have no hesitation recommending their services for quality conscious customers wanting to enhance their security posture.
Peter Theobald, A.C.A
Cybersecurity Industry Veteran, Author of Cybersecurity Demystified Deliverables of Compliance Audit & Certification
- Executive Presentation: provide high level executive summaries of the complete engagement, root cause analysis of the identified issues & best practice recommendations for the long-term to help leaders better understand their risk and incorporate our recommendations into their roadmap.
- Detailed Audit Reports: The audit report will typically be a detailed document that is divided into several sections, including:
- Introduction: This section will provide an overview of the audit, including the scope, objectives, and methodology.
- Findings: This section will identify the areas of compliance and non-compliance.
- Recommendations: This section will make recommendations for improvement.
- Appendices: This section may include supporting documentation, such as interview transcripts, policies and procedures, and risk assessments.
- Certificate of Compliance: The certificate of compliance is a formal document that is issued by the auditor to the organization. This document states that the organization has been found to be in compliance with the guidelines.
- List of Recommendations for Improvement: The list of recommendations for improvement will identify areas where the organization can strengthen its technology risk management framework. These recommendations can be used by the organization to improve its security posture and reduce its risk of a data breach or other security incident.
- Plan for Remediation: The plan for remediation will outline the steps that the organization will take to address any non-compliance findings. This plan should be specific and measurable, and it should include a timeline for completion.