Expert Guidance for SOC 1, SOC 2 & SOC 3 Compliance​

​Phase 1: Readiness Assessment & Gap Analysis

This foundational phase is the most critical step in your compliance journey. We dive deep into your environment to establish a clear baseline, identifying where you stand today against the specific SOC criteria relevant to your business.

• Objective: To provide a comprehensive understanding of your current compliance posture and deliver a precise, prioritized roadmap for remediation.

• Key Activities:

  • Scope Definition: We work with your team to define the audit's scope. This includes identifying the systems, services, and locations to be included and determining the applicable Trust Services Criteria (Security, Availability, Confidentiality, Processing Integrity, Privacy) for a SOC 2 report.

  • Control Mapping: We analyze your existing policies, procedures, and technical controls, mapping them against the required SOC criteria.

  • Gap Identification: Through interviews, documentation review, and system walkthroughs, we pinpoint specific gaps where your controls do not meet the SOC framework's requirements.

• Deliverable: You will receive a detailed Gap Analysis Report. This report includes a full list of identified deficiencies, an assessment of the risk associated with each gap, and a prioritized, actionable remediation plan to guide the next phase.

Phase 2: Remediation & Control Design

With a clear roadmap from Phase 1, we now shift our focus to closing the identified gaps. This is a collaborative phase where we work alongside your team to design and implement effective, efficient, and modern controls.

• Objective: To build and implement the necessary policies, procedures, and technical controls to meet all SOC requirements.

• Key Activities:

  • Control Implementation: We provide expert guidance on implementing new security controls, such as enhancing access management with Multi-Factor Authentication (MFA), improving data encryption, or establishing formal incident response plans.

  • Policy & Procedure Development: We help you draft and formalize the documentation that forms the backbone of your compliance program, including Information Security Policies, Vendor Management Procedures, and Employee Onboarding/Offboarding checklists.

  • Automation & Tooling: Where appropriate, we recommend and assist in implementing modern tools to automate control monitoring and evidence collection, reducing manual effort and improving accuracy.

• Deliverable: A complete and robust system of internal controls, fully documented and aligned with the SOC framework, ready for testing.

Phase 3: Evidence Collection & Audit Coordination

Preparing for the audit involves more than just having controls in place; you must be able to prove they are operating effectively. This phase is dedicated to systematically gathering this proof and managing the audit process.

• Objective: To compile a complete and organized body of evidence and to facilitate a smooth, efficient audit process with the external CPA firm.

• Key Activities:

  • Evidence Management: We guide your team in collecting the necessary evidence—such as system logs, configuration screenshots, signed policy documents, and training records—and organize it in an audit-ready format.

  • Auditor Liaison: We act as the central point of contact between your team and the external auditors, helping to answer questions, clarify requests, and ensure the audit progresses on schedule.

  • Management Assertion & System Description: We assist you in drafting the critical narrative components of the final report, ensuring they accurately reflect your system and control environment.

• Deliverable: A comprehensive package of audit evidence ready for auditor review, and a fully coordinated audit engagement.

Phase 4: Continuous Monitoring & Maintenance

SOC compliance is not a one-time project; it's an ongoing commitment. The final phase is about shifting from a project mindset to a continuous state of compliance, ensuring you remain audit-ready year after year.

• Objective: To embed compliance into your daily operations and establish a sustainable program for maintaining and improving your security posture.

• Key Activities:

  • Continuous Compliance Monitoring: We help you implement processes and leverage automation tools to continuously monitor your controls, providing real-time alerts on any deviations or non-conformities.

  • Ongoing Risk Assessment: We assist in establishing a regular cadence for reviewing and updating your risk assessments to account for new threats and changes in your business.

  • Audit Readiness Program: We help you build an internal program that includes periodic access reviews, vulnerability scanning, and security awareness training to keep your team sharp and your controls effective.

• Deliverable: A sustainable, forward-looking compliance program that not only ensures successful future audits but also fosters a culture of security within your organization.