A Guide to SOC 2 Certification

Have you been wondering whether your data would be safe if stored in the cloud? As a SaaS organization, ensuring your sensitive customer and company information is secure is essential. One way to vet potential cloud service providers is to check if they have a SOC 2 attestation, often mistakenly said as “SOC 2 certification”. SOC 2 stands for Service Organization Controls 2 and is an independent audit that evaluates how well a service organization like a cloud provider safeguards data. In this guide, we’ll walk you through everything you need to know about SOC 2 compliance so you can choose a cloud partner with confidence.

A Guide to SOC 2 Certification

Understanding The SOC 2 Certification Process

SOC 2 compliance refers to a report that verifies a service organization’s security controls meet industry standards. To become SOC 2 compliant, an independent auditor examines your security policies and procedures to ensure sensitive data is properly protected.

There are two types of SOC 2 reports. Type I reports test the design of a company’s security controls at a point in time. Type II reports test the effectiveness of security controls over a period of time. Type II is considered more comprehensive and is preferred by most organizations.

To achieve SOC 2 compliance, organizations must establish and follow strict security policies that align with the AICPA’s Trust Services Criteria. This includes things like conducting risk assessments, establishing a security management program, and ensuring data privacy. Compliance requires creating security standards, implementing controls, monitoring systems, and remediating any issues.

While the process can be complex, SOC 2 compliance gives customers confidence their data will be kept private and secure. With data breaches frequently occuring, top-notch security and reliability have become essential. SOC 2 compliance provides an independent verification that your organization has strong security practices in place to keep sensitive data safe.

How to Get Started With Your SOC 2 Journey

To achieve SOC 2 compliance, you’ll need to put in the work to meet the standards set out by the AICPA. Here are some tips to get you on the right track:

  • Elect a dedicated SOC 2 project manager who will ensure the process runs smoothly and successfully. They will oversee implementing controls and procedures required for compliance and manage internal audits to identify any gaps. 
  • Map out your SOC 2 journey, outlining where you are, where you need to be and how you plan on getting there. Develop a roadmap with key milestones and deadlines to keep everyone accountable. You’ll want to evaluate your current security and privacy practices to determine what needs improvement to meet SOC 2 criteria.
  • Implement the right SOC 2 compliance automation platform. Automation tools can help streamline processes like control monitoring, risk assessments, and evidence collection, as well as minimize human error.
  • Ensure you leverage SOC 2 expert advisory that can help you devise the right strategy and optimize implementation. Their guidance and experience will prove invaluable.

With the proper planning and dedication, achieving SOC 2 compliance and maintaining compliance can absolutely be within your reach. SOC 2 is not a one-and-done deal, so be prepared to put in work to stay compliant for the long haul.

Key Components of SOC 2 Compliance

To achieve SOC 2 compliance, there are three key components your organization needs to focus on: policies, procedures, and security controls.


You’ll need to establish formal, documented policies that outline your security and privacy practices. These policies should cover things like access management, risk assessment, security monitoring, and incident response. The policies must be approved by management and communicated to all employees.


Simply having policies in place isn’t enough. You need procedures on how those policies will be implemented and enforced in your day-to-day operations. The procedures should map out in detail the steps required to carry out the policies. For example, you may have a policy to conduct regular vulnerability scans, and a procedure that outlines how and when those scans will be performed, who is responsible, how risks will be remediated, etc.

Security Controls

Finally, you need to have appropriate security controls in place that align with your policies and procedures. These controls, like multi-factor authentication, encryption, access control, and backup systems, actually help secure your environment and customer data. The specific controls you implement will depend on the nature of your business and the types of data you collect and store.

Achieving SOC 2 compliance requires an ongoing commitment to data security, but by focusing on these three components – policies, procedures and security controls – you’ll be well on your way to meeting the necessary standards and protecting sensitive information. The time and effort required will pay off through increased customer trust and peace of mind.

Steps To Attaining SOC 2 Compliance

To achieve SOC 2 compliance, there are several key steps your organization needs to take. 

Create a Cybersecurity Management Plan

A written information security plan that outlines your policies, procedures, and controls is essential. It should address things like access control, risk assessment, data encryption, and incident response. Review industry best practices to build a comprehensive plan.

Conduct a Risk Assessment

You need to identify any vulnerabilities in your systems and data that could threaten security or privacy. Then determine ways to mitigate risk. Risk assessments should be done regularly, not just once. Re-assess whenever there are changes to technology, business operations or compliance requirements.

Implement Strong Controls

The controls outlined in your cybersecurity plan, like multi-factor authentication, data encryption, and employee security awareness training, must be designed and put into practice. All controls should be tested to ensure proper functionality before a SOC 2 audit.

Choose a SOC 2 Auditor

Select an accredited auditor to examine your systems and controls. They will review documentation, interview employees, and perform tests to determine if your policies and procedures meet SOC 2 criteria. Work closely with the auditor to understand any gaps and make necessary improvements.

Achieve the Attestation

Once you’re audit-ready, the auditor will undergo the official audit. If they are satisfied that your controls adequately meet the SOC 2 Trust Principles, they will issue an official report. Congratulations, your organization is now SOC 2 compliant! To maintain certification, periodic audits and continuous monitoring are required.

Benefits of SOC 2 Compliance

Customer Trust

Obtaining SOC 2 compliance, often mistakenly called a “SOC 2 certification”, offers several benefits for your business. First, it establishes credibility and trust with your customers and enables you to sign more deals, faster, especially enterprise deals. In today’s digital world where data breaches are common, customers want to know their sensitive information is in good hands. SOC 2 compliance shows you have solid security controls and practices in place to protect data.

Competitive Advantage

Achieving SOC 2 compliance gives you a competitive edge over companies that lack this attestation. It signifies your organization is dedicated to data security and privacy, which is a top concern for many businesses today. This can help win new clients and retain existing ones.

Operational Improvements

The process of becoming SOC 2 compliant helps strengthen your security and internal controls. Preparing for an audit requires thoroughly evaluating systems and procedures to identify and fix any gaps. This results in improved efficiency and risk mitigation that benefits your operations long-term.

Damage Control

In the event of a data breach or cyberattack, having SOC 2 compliance in place demonstrates you exercised due care and diligence in protecting customer data. This can help mitigate potential legal and financial consequences by showing your security program aligned with industry standards. While not a guarantee, compliance serves as evidence your organization did what it reasonably could to prevent such incidents.


Maintaining SOC 2 Compliance

To maintain your SOC 2 compliance, you’ll need to routinely evaluate, monitor and scan your controls and processes. Think of compliance as an ongoing journey, not a destination. Some key things you should do include:

  • Perform internal audits. Conduct regular audits of your own systems and controls to uncover any issues. Check that employees are following policies and procedures, review system logs and activity, and make sure any needed patches or updates have been installed.
  • Update documentation. When controls, systems, or processes change, update your compliance documentation right away. This includes policies, procedures, process maps, and system descriptions.
  • Continuous monitoring. Constantly monitor your critical systems and controls for signs of failure or suspicious activity. Look for unauthorized access attempts, malware infections, or other cyber threats that could compromise sensitive data.
  • Staff training. Provide regular training to ensure your staff understands their role in data security and compliance. Review policies, discuss any changes to controls or systems, and give refresher courses on topics like phishing prevention.
  • Fix issues promptly. If any compliance gaps or weaknesses are found during internal audits, monitoring, or testing, address them as quickly as possible. Create a remediation plan, fix or patch systems, update controls, and get back on track to avoid compliance violations.

By frequently evaluating your compliance state and making continuous improvements to your systems and controls, you can maintain your SOC 2 compliance and ensure your customers’ data remains protected. Keep your documentation, policies, and procedures up to date, provide ongoing staff education, monitor systems closely, promptly remediate any issues found, and routinely conduct internal audits to catch problems early. Compliance is a journey, so stay the course!

So to conclude this complete guide to understanding SOC 2 compliance and how it can benefit your business. While the certification process may seem daunting, the rewards of implementing stringent security controls and proving your reliability to customers far outweigh any hassles along the way. Earning SOC 2 compliance shows your customers you have their back. Why wait?