SOC 2 Compliance Checklist
November 29, 2021
In order to build trust with your clients about how you’ll be protecting their data, it’s important that the systems you’ve outlined are backed up
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Streamline Your Compliance Initiatives. Prepare for Your SOC Report in as Few as Two Weeks.
The SOC Readiness Assessment empowers management with the information, and the opportunity needed, to modify existing controls or institute new ones prior to the date of the SOC examination.
Your Auditwerx engagement team performs an “examination before the examination” on your process from beginning to end, explains what controls should be in place at each step, and evaluates whether your existing controls are in line with best practices. This assessment is helpful for preparing for a SOC assessment, and delivers a roadmap that your business can follow to a successful SOC examination.
A readiness assessment is truly your best preparation for a SOC examination. You will work with your audit team to review current controls, allowing you to remediate potential issues before they can impact your final SOC report.
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We have helped countless organizations understand their current internal measures and improve upon them. During the readiness process, we assess the data flow of the services, identify controls, and provide a gap analysis of controls that may need implementation or improvement.
The key to completing a SOC report that will be useful to your clients is for the auditor to thoroughly understand your company’s array of service offered, and more importantly, those that are subject to the SOC examination. A SOC report should not be a one size fits all attestation. This phase of the readiness assessment narrows the focus of this process and increases efficiencies in our questions and testing, which means less time is required from your valuable staff.
Once the “in-scope” services are determined, the next step is to clarify both the processes and systems that support those services in order to establish the system boundaries and what is included in the SOC report. This step further narrows the focus and spotlights only those critical areas that are important to the in scope control environment while eliminating information not applicable to the scope of the report.
The next step is pinpointing key controls and, even more importantly, any control gaps. Control gaps consist of either controls that are not in-place (and should be) or controls that are ineffective. Identifying control gaps is critical because those gaps will need remediation. The “fix” could include a variety of things such as a new control or simply maintaining audit evidence like log files that are often purged but will need to be maintained over the reporting period.
Our handy guide, “Adding it Up: What Type of SOC Report Do I Need?” is a great starting point to determine what kind of SOC report best fits your company’s business and compliance needs.
When you’re ready to speak with an experienced team about your reporting needs, Auditwerx will be here for you.
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In order to build trust with your clients about how you’ll be protecting their data, it’s important that the systems you’ve outlined are backed up
The thought of undergoing your next SOC assessment can be overwhelming. It can seem like there is too much to do, but one thought that
Did you know that it’s International Fraud Awareness Week? Auditwerx supports the global effort to minimize the impact of fraud.
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