Blog
SOC 2 compliance checklist: 8 steps to prepare your organization
What to expect on your road to SOC 2 compliance
Katrina Dalao
Sr. Content Marketing Specialist, CIPM, CIPP/E
November 28, 2023
It’s a common scenario: Your organization wants to be SOC 2 (Service Organization Control 2) compliant and assigns you to look into the framework requirements.
After some preliminary research, however, you realize that compliance requires first understanding the general guidelines set by The American Institute of Certified Public Accountants (AICPA), the creators of SOC 2, and then determining what criteria applies to your organization. It’s a complex process that usually takes several weeks to months to complete.
Thankfully, there’s a way to simplify the process — with a SOC 2 compliance checklist. Leveraging a SOC 2 checklist helps you fast-track the process of defining and implementing SOC 2 controls in your organization.
The checklist below breaks down everything you need to properly scope your program, prepare for your audit, and achieve SOC 2 compliance. Regardless of your organization’s size or program maturity, the easy-to-follow, eight-step process will not only serve as a guide but also accelerate your time to SOC 2 compliance.
Why do you need a SOC 2 compliance checklist?
SOC 2 is by far the most requested InfoSec framework and audit process in the US, signifying that an organization can be trusted to secure its customers and sensitive data.
A SOC 2 compliance checklist includes practical guidance and clear action steps to help organizations meet framework requirements. Not only does a SOC 2 checklist share critical details about each step, it also provides tips to streamline the process and strengthen your overall security posture.
We drew from years of information security experience and expertise to bring together all you need to know throughout your entire compliance journey, starting with establishing objectives and trust service principles to maintaining SOC 2 standards.
SOC 2 compliance checklist: 8 steps
Preparing for your SOC 2 audit can take months, with tasks such as defining the scope, choosing an auditor, implementing internal controls, and performing a readiness assessment as part of the typical process. Below, we break down the eight essential steps to becoming SOC 2 compliant:
1. Establish your objectives
The first item in our SOC 2 compliance checklist is to have clear, well-defined objectives. Why does your organization need SOC 2? What purpose or benefit does it offer?
A few reasons why organizations work toward SOC 2 are because it’s requested by their customers, it underpins a secure data management program, it helps communicate your security operations, and it builds trust in your brand.
No matter what the reason, establishing objectives early on ensures your efforts align with organizational goals and provides guidance when it comes time to create and implement security controls.
2. Choose your auditor
Even organizations experienced in SOC 2 compliance recommend choosing your independent or external auditor as soon as possible. After all, how often do you get to choose the individual who reviews your work?
Not only are auditors responsible for creating your final SOC 2 report, they also play a key role in helping navigate the entire process. Audit firms and service providers are one of the biggest factors in whether your organization will ultimately achieve SOC 2 compliance.
Here are a few factors to keep in mind when choosing the best auditor for you:
- Knowledge and understanding: Are they familiar with your industry and type of business? Do they provide adequate answers to your questions and suggest clear solutions?
- Ready to collaborate across teams: Unless you’re the only one who will interface with the auditor, make sure all stakeholders across teams (i.e., DevOps, third-party management, privacy) have a chance to meet and evaluate the auditor.
- Transparent about operations: Don’t just talk to their sales teams — sit down with the actual audit team. Ask them about specific compliance details, workflows, SLAs, timelines, etc.
While auditors can give guidance, OneTrust offers a SOC 2 compliance solution to further simplify and accelerate your process. It comes with pre-built controls and automation that can be customized to meet your specific organization needs.
3. Identify the type of SOC 2 report
There are two types of SOC 2 audit reports: SOC 2 Type 1 and SOC 2 Type 2.
The SOC 2 Type 1 looks at your organization’s data security and privacy controls at the time of the audit; while the SOC 2 Type 2 looks at the same controls, but over a period of time (approximately six to 12 months).
Type 1 reports are much easier and a good option if you need to show compliance in a short amount of time. However, most organizations (and their customers) will want Type 2 reports. Type 2 reports are much more intensive and go farther in proving your systems are protected by a high level of security. For this reason, many organizations opt to skip Type 1 and go directly to Type 2 compliance.
4. Define your audit scope
As with most compliance efforts, SOC 2 audits are defined by the organization’s scope. For example, a general scope can be limited to a particular location or area of operations. More commonly for SOC 2, a scope will be focused on the operations that support a specific product or service your organization offers.
Defining the SOC 2 audit scope, however, entails a thorough understanding of both your operations and the framework’s compliance requirements. Start by looking at all the applications, databases, physical locations, and systems where your customer data lives. You also need to determine which of the five Trust Services Criteria (TSC) applies to your organization.
Keep in mind that Security is mandatory for any SOC 2 audit, while the other four criteria — Availability, Processing integrity, Confidentiality, and Privacy — are optional.
By excluding any areas that aren’t relevant ahead of time, you can significantly lighten the compliance load for your organization.
5. Perform a gap assessment
Once you’ve defined your audit scope, you can then perform a gap assessment or gap analysis that compares your current security efforts to those outlined in the SOC 2 framework.
This step should be fairly simple. The aim is to quickly identify what existing security practices, policies, and technologies are in place, and uncover any gaps or issues that still need to be addressed. Examples of common gaps include lack of organizational control documentation, unauthorized access controls, or unaddressed security vulnerabilities.
Performing a proactive SOC 2 gap assessment gives you enough time to implement necessary controls and perform any risk assessments or risk mitigation before the actual audit.
Make this step as pain-free as possible with a dedicated SOC 2 compliance software like OneTrust. Automations are available to instantly scan your systems and controls, reducing the majority of manual work, human error, and completing assessments within hours rather than weeks.
6. Remediate gaps and implement security controls
Now it’s time to address all the SOC 2 compliance gaps you identified in your assessment. While the AICPA offers general guidance, it’s largely open to interpretation. It’s best to work with your teams to review policies, implement necessary changes or controls, and document any new processes.
Organizations find this the most rigorous and time-consuming part of the SOC 2 framework, as it can take some time to close the gaps between your current security process and the required compliance standards.
7. Undergo an audit simulation (Optional)
As a final step before your official audit, your auditor can perform a simulated or mock audit that assesses your readiness. Audit simulations verify whether you've implemented the correct controls and, in some cases, will highlight any changes needed to demonstrate SOC 2 compliance. These types of audits are optional, but highly recommended as a way to familiarize your organization with the actual process and bring about peace of mind.
8. Complete your SOC 2 audit
Your scope is defined. Your gaps are closed. Your policies and controls are in place. All that’s left is to go through the actual SOC 2 compliance audit. For SOC 2 Type 2, the audit process can take anywhere from a few weeks to several months, during which your auditor will review the organizational controls and systems included in your scope.
Auditors also typically ask some more questions, request additional evidence, or schedule on-site walkthroughs. Make sure to work closely with your auditor so you can align timelines and ensure everything goes smoothly.
At the end of the audit, you’ll receive a SOC 2 report summarizing your systems and controls, as well as the auditor’s findings and opinion. (Remember that unqualified opinions mean you pass! Read our other article on understanding your auditor’s SOC 2 report opinion.)
Download this checklist and start your path to SOC 2 compliance today.
Achieving your SOC 2 compliance
Congratulations! Your organization is now (hopefully) SOC 2 compliant. After taking a deep sigh of relief and displaying the SOC 2 compliance seal on your website, it’s important to establish continuous monitoring and security measures. SOC 2 audits reports are valid for 12 months and most organizations will renew their attestation reports on an annual basis.
To ensure you stay continuously compliant, a scalable platform like OneTrust can integrate into your tech stack, automatically customize a list of policies and controls for your organization, and operationalize all your SOC 2 requirements in a single location.
You may also like
Webinar
Technology Risk & Compliance
Taming compliance complexity: Strategies for scaling across frameworks, systems & geographies
Discover how to scale compliance programs amid rising regulations and complexity. Gain actionable strategies to streamline controls, audits, and global oversight.
July 23, 2025
On-Demand
Responsible AI
Building AI governance with security at the center
Discover how security leaders are securing AI models, data, and infrastructure while driving risk-aware AI governance programs.
July 10, 2025
On-Demand
Technology Risk & Compliance
Unifying third-party and tech risk in an AI-driven world
Join our webinar to learn how risk and security leaders are aligning third-party and tech risk for scalable, AI-ready compliance programs.
July 08, 2025
Webinar
Technology Risk & Compliance
The automation advantage: Unlocking ROI from risk and compliance
Learn how automation reduces compliance costs, boosts audit readiness, and delivers 75%+ time savings across the compliance lifecycle in this practical, ROI-focused session.
May 28, 2025
eBook
Technology Risk & Compliance
The risk-resilient enterprise: Automating compliance for security & scale
Risk flows throughout your organization’s systems and data, and without mapping or monitoring, your company’s security posture is constantly under pressure.
April 24, 2025
Webinar
Technology Risk & Compliance
From reactive to resilient: Building and scaling a modern enterprise risk program
Join our masterclass for CISOs & InfoSec leaders to build scalable, modern risk management programs. Gain actionable strategies, frameworks, and real-world insights for success.
April 22, 2025
Webinar
Technology Risk & Compliance
Harmonizing risk and compliance: Unifying InfoSec programs through automation
Join this webinar to discover how to streamline ISO 27001, GDPR, NIST & PCI DSS with automation, reduce manual work and enhance oversight.
April 09, 2025
Infographic
Technology Risk & Compliance
Automating compliance mitigates risk
Download our infographic to learn steps involved in compliance automation and how it mitigates risk in your organization's security program.
March 27, 2025
Webinar
Technology Risk & Compliance
Operational resilience in a changing world: Going beyond compliance
Join this session to unpack key regulations, such as ISO 27001, APRA CPS 230, DORA, & SOC2, to learn how they impact internal & third-party operations.
February 20, 2025
Webinar
Technology Risk & Compliance
Compliance Automation product showcase
Join our live demonstration and see how Compliance Automation can help boost compliance efficiency with automated workflows, shared evidence, and 40+ frameworks.
December 19, 2024
Webinar
Technology Risk & Compliance
The PDPL in Saudi Arabia is now in effect: is your business ready?
Join our Saudi Arabia PDPL webinar for an overview on the data protection law, its requirements, and how to prepare for full enforcement.
December 12, 2024
Webinar
Technology Risk & Compliance
Elevating client compliance with OneTrust Automation: Key strategies for partners
Discover how to use OneTrust Compliance Automation to establish client baselines, improve efficiency, and drive scalability. Learn key strategies to enhance your compliance impact.
December 11, 2024
Webinar
Technology Risk & Compliance
Understanding the NIS 2 Directive: Compliance insights and best practices
This DataGuidance webinar explores the latest and expected developments in the implementation of the NIS 2 Directive, focusing on practical compliance strategies to ensure your organization is prepared.
December 04, 2024
Webinar
Technology Risk & Compliance
Tech risk and compliance masterclass: An evidence-based approach to building by-design risk and compliance practices
Discover strategies to embed compliance and risk management into business processes with minimal disruption, using technology-driven solutions for efficiency, scalability, and improvement.
November 06, 2024
Webinar
Technology Risk & Compliance
Building a strong security posture: Managing compliance, risk, and business engagement in a dynamic landscape
Join our webinar to learn how to optimize security posture, streamline compliance, and leverage automation to manage IT risk in today's complex digital landscape. Register now!
October 29, 2024
Webinar
Privacy Automation
Build resiliency and operationalize compliance with OneTrust: Fall product release recap, 2024
Join our upcoming product release webinar to explore how these new capabilities can help your organization navigate complex frameworks, streamline third-party management, and accelerate AI and data innovation.
October 22, 2024
Webinar
Technology Risk & Compliance
Tech risk & compliance masterclass: The anatomy of a framework
Master the fundamentals of constructing robust compliance frameworks that can seamlessly integrate with organizational operations while aligning with regulatory and strategic mandates to deliver measurable insights on your progress and gaps.
August 14, 2024
Webinar
Third-Party Risk
Third-Party Risk Management: From compliance to strategy
Navigate third-party risk challenges and discover strategic steps to scale, automate, and operationalize your program with this webinar series.
August 09, 2024
Webinar
Technology Risk & Compliance
Tech risk and compliance masterclass
Unlock tech risk management & compliance excellence. Master risk management, build robust frameworks, and foster cross-functional collaboration for long-term resilience.
August 07, 2024
Webinar
Technology Risk & Compliance
Introducing OneTrust Compliance Automation
Join us as we explore OneTrust Compliance Automation, a holistic and fully integrated solution that streamlines and optimizes workflows, compliance, and attestation.
July 25, 2024
Webinar
Data Discovery & Classification
Catch it live: See the all-new features in OneTrust's Spring Release and Post-TrustWeek recap
Join us as Ryan Karlin, Senior Director of Product Marketing highlights important updates from TrustWeek including an inside look into OneTrust's new platform features that make it easier for customers to activate data responsibly, surface and mitigate risk, and navigate the complex regulatory environment.
June 06, 2024
Report
AI Governance
GRC strategies for effective AI Governance: OCEG research report
Download the full OCEG research report for a snapshot of what organizations are doing to govern their AI efforts, assess and manage risks, and ensure compliance with external and internal requirements.
May 22, 2024
Infographic
Third-Party Risk
Streamline compliance with the Digital Operational Resilience Act (DORA)
Download our infographic to learn about the new DORA regulation, who needs to comply, and how OneTrust can help streamline the process.
April 29, 2024
Infographic
Technology Risk & Compliance
Rethinking risk assessments: Bridging the gap between best practices and action
Download our infographic to learn the main challenges faced during risk assessments, proven frameworks for assessing risks, and how to translate guidance into action.
March 07, 2024
Webinar
Technology Risk & Compliance
PCI DSS Compliance: How to scope and streamline monitoring with Certification Automation
Join our PCI DSS webinar where we discuss how Certification Automation can help free up valuable InfoSec resources, streamline audits, and stay continuously compliant.
March 05, 2024
eBook
Ethics Program Management
Business messaging apps: A guide to corporate compliance
How can your business use third-party messaging apps while staying compliant? Dive into key usage considerations based on the DOJ’s 2023 guidance.
February 13, 2024
Webinar
Technology Risk & Compliance
5 automation trends to modernize InfoSec compliance
Join our webinar for insights on transforming InfoSec program management. Navigate the complexities of modern security with a flexible, scalable, and cost-effective approach.
February 07, 2024
Infographic
Third-Party Risk
4 top-of-mind challenges for CISOs
What key challenges do CISOs face going into the new year? Download this infographic to hear what experts from industries across the board have to say.
January 30, 2024
eBook
Technology Risk & Compliance
NIST CSF 2.0: Changes, impacts and opportunities for your Infosec program
Get your free guide to the NIST Cybersecurity Framework 2.0 and learn how its proposed changes will impact your InfoSec programs.
December 18, 2023
Resource Kit
Technology Risk & Compliance
NIST CSF essentials: Empowering cybersecurity excellence
Download our NIST CSF Essentials resource kit and master cybersecurity compliance with expert insights, strategies, and real-world case studies.
December 15, 2023
Webinar
Technology Risk & Compliance
Demonstrating GDPR compliance with Europrivacy criteria: The European Data Protection Seal
Join our webinar to learn more about the European Data Protection Seal and to find out what the key advantages of getting certified.
November 30, 2023
Data Sheet
Technology Risk & Compliance
Integrations to automate your framework compliance: ISO 27001, SOC 2, and NIST CSF
Explore how OneTrust integrations can help you automate compliance with today’s most popular InfoSec frameworks.
November 28, 2023
Checklist
Technology Risk & Compliance
SOC 2 checklist: 8 steps to achieve compliance
This SOC 2 checklist provides clear action steps that enable you to mature your security program and fast-track your way to compliance.
November 28, 2023
eBook
Technology Risk & Compliance
Navigating the ISO 27001 compliance journey eBook
In this guide, you’ll learn what ISO 27001 is, which steps to take at each phase of the process, and how automation can help you get and stay compliant.
October 16, 2023
eBook
Technology Risk & Compliance
The ultimate survival guide to SOC 2 compliance
The SOC 2 compliance journey isn't an easy one. Use this guide to understand best practices to accomplish your goals.
October 16, 2023
Infographic
Technology Risk & Compliance
Understanding Europe's Top InfoSec and Cybersec Frameworks
Learn the ins and outs of Europe’s top InfoSec and cybersec frameworks, including ISO 27001, UK Cyber Essentials, the NIS2 Directive, DORA, and more.
October 05, 2023
Infographic
Technology Risk & Compliance
5 key areas for improved automation in InfoSec compliance
Streamline and scale your organization’s InfoSec compliance program by focusing on these five key areas of automation.
October 02, 2023
eBook
Technology Risk & Compliance
Prioritizing the right InfoSec frameworks for your organization
In this free eBook, we explore the basics of three top InfoSec frameworks and how to decide which is the best fit for your organization.
September 27, 2023
Webinar
Third-Party Risk
Live Demo EMEA: How OneTrust can help advance your third-party risk management program
Join us for a live demo of OneTrust's third-party risk management solution and see how it can help automate and streamline your TPRM program.
September 19, 2023
eBook
Privacy Management
Responsible data use: Navigating privacy in the information lifecycle eBook
Download this eBook and get the insights you need to safeguard customer privacy and ensure responsible data use in the information lifecycle.
August 22, 2023
Resource Kit
Technology Risk & Compliance
PCI DSS essentials: A resource collection for compliance
Achieve PCI DSS standard compliance with our comprehsive guide to safeguarding your organization's payment card data.
August 09, 2023
Data Sheet
Technology Risk & Compliance
Certification Automation: Managing PCI DSS compliance
See how OneTrust Certification Automation streamlines PCI DSS compliance by identifying controls and requirements with automation.
July 05, 2023
Webinar
Technology Risk & Compliance
How to successfully implement ISO 27001 to demonstrate security and assurance across any jurisdiction
Join our live webinar and hear from security professionals on how to get ISO 27001 certified, streamline audit preparation, and demonstrate security assurance across any regulatory jurisdiction.
June 28, 2023
Infographic
Technology Risk & Compliance
Working toward compliance with PCI DSS v4.0
Learn the key considerations of the PCI DSS v4.0 security standard and plan your next steps towards compliance with this free infographic.
June 16, 2023
eBook
Third-Party Risk
InfoSec's guide to third-party risk management: Key considerations and best practices
Download our eBook to learn practical advice on how to approach third-party risk management like an InfoSec expert.
June 05, 2023
Data Sheet
Technology Risk & Compliance
Compliance Automation external audit management
Take a look at how OneTrust Compliance Automation can help streamline your preparation for audits, drive accountability, and track results.
May 16, 2023
eBook
Technology Risk & Compliance
5 Levels of InfoSec compliance maturity
Effectively assess your organization's InfoSec maturity level and elevate your program with our InfoSec compliance maturity guide.
April 26, 2023
Infographic
Technology Risk & Compliance
How leaders see integrated automation as the best path to a mature GRC program
Our infographic highlights the results of an IDC survey that revealed how GRC leaders believe automation is key to building a more mature GRC program.
February 28, 2023
Webinar
GRC & Security Assurance
Combating InfoSec compliance fatigue: Insights for navigating growingly complex requirements
In this webinar, you will hear first-hand from information security experts experts what are the key pain-points and their strategies to be audit ready.
February 27, 2023
Webinar
Technology Risk & Compliance
Introducing OneTrust Certification Automation: Build, scale, and automate your InfoSec compliance program webinar
In this webinar, learn how to right-size your compliance scope for different frameworks across various business dimensions and enable an agile audit process.
February 15, 2023
Webinar
GRC & Security Assurance
Introducing OneTrust Certification Automation: Reinforce privacy accountability with automated InfoSec compliance
Learn how to enable an agile audit process by breaking down complex InfoSec requirements into actionable tasks to help automate your compliance program.
February 10, 2023
Infographic
Technology Risk & Compliance
ISO 27001: Global changes and impact to your compliance program
This infographic will explain how the updates to the ISO 27001 framework will have a huge impact on information security programs across all industries.
December 14, 2022
eBook
Technology Risk & Compliance
Your Journey to Continuous Compliance eBook
This eBook will help your continuous compliance journey stay on track, with key takeaways including continuous compliance and compliance automation.
October 26, 2022
eBook
Technology Risk & Compliance
The future of information security
Learn how to respond to the security landscape and build a proactive InfoSec program to help your customers and business.
October 10, 2022
eBook
Technology Risk & Compliance
The art of the enterprise IT risk assessment
Ensure your enterprise IT risk assessment is a success with a top-down approach that gets executive buy-in from the start
September 16, 2022
eBook
Technology Risk & Compliance
The enterprise DevSecOps playbook
As a unified business function, DevSecOps combines rapid software development with top-notch security at scale.
September 02, 2022
Webinar
GRC & Security Assurance
How to reinforce your InfoSec risk program in a “Not If, But When” incident environment webinar
Learn how scaling your approach to managing IT assets & risk assessments can deliver a complete picture to better measure and inform program investments.
August 16, 2022
Webinar
GRC & Security Assurance
5 critical mistakes to avoid when answering security questionnaires
Avoid these 5 critical mistakes when answering security questionnaires and streamline responses with this webinar.
March 01, 2022
Webinar
GRC & Security Assurance
How successful security teams manage risk to build Trust and drive Growth
Watch this webinar to learn what makes a successful risk management program and how effective security teams build trust.
January 12, 2022
Webinar
Privacy Management
Build an incident management playbook
Prepare for privacy and security incidents by building an incident management playbook.
August 27, 2021
Fundamental to Comprehensive: Where Does Your Compliance Program Stand? Infographic | Resources | OneTrust
Infographic
Technology Risk & Compliance
The future of GRC: 10 drivers and trends
In this infographic, we cover the top 10 GRC drivers and trends that will impact the future of organizations, including fragmented internal data and systems.
Demo
Technology Risk & Compliance
OneTrust Tech Risk and Compliance demo
Manage tech risks and ensure compliance with our all-in-one solution. Automate workflows, scale resources, and measure program effectiveness to stay ahead of evolving regulations.