Mastering SOC 2 Compliance: From Gap Analysis to Audit Success
You’re under pressure. Your customers are asking for proof of SOC 2 compliance. Potential investors want assurance your data practices are secure. But where do you start? The framework feels complex, vague, and high-stakes. One misstep in your controls or documentation could delay sales, lose trust, or disqualify your company from enterprise contracts. You're not just trying to check a box. You need a systematic, confident path from confusion to compliance - one that positions your organisation as trustworthy, resilient, and operationally mature. Without it, you're leaving revenue, credibility, and long-term growth on the table. Mastering SOC 2 Compliance: From Gap Analysis to Audit Success is that path. This is not a theoretical overview. It’s a battle-tested, step-by-step blueprint designed to take you from zero documentation to a fully audit-ready posture in as little as 90 days, with a board-ready compliance package and stakeholder-aligned control environment. One recent participant, a Senior IT Governance Lead at a Series B SaaS company, used this course to lead their first successful SOC 2 Type II audit. They reduced their consulting fees by over 60% by doing 80% of the foundational work themselves - and passed with zero exceptions. Their CFO now calls compliance a strategic asset. This course transforms uncertainty into mastery. It gives you complete clarity on Trust Services Criteria alignment, control design, evidence collection, and auditor expectations - so you’re not outsourcing your knowledge or overpaying for remediation. You’ll gain more than compliance. You’ll gain leverage. Leverage in negotiations, in sales cycles, and in internal influence. This is how you turn regulatory pressure into competitive advantage. Here’s how this course is structured to help you get there.Course Format & Delivery Details This is a self-paced, on-demand learning experience with immediate online access. There are no fixed dates, live sessions, or time commitments - you progress at your speed, on your schedule, from any location. Most learners complete the core curriculum in 8 to 12 weeks while working full-time. Many report achieving preliminary gap closure and internal alignment in under 30 days. The structure is designed for rapid implementation and fast clarity, so you can start making decisions and assigning ownership immediately. You receive lifetime access to all course materials. This includes every update to the content as SOC 2 standards, AICPA guidance, and auditor expectations evolve - at no additional cost. Your investment remains future-proofed year after year. The course is mobile-friendly and accessible 24/7 across all devices. Whether you're in the office, on the road, or reviewing materials after hours, your progress is always available and synced. Instructor support is provided through structured guidance notes, expert commentary, and contextual troubleshooting embedded directly within each module. You’ll also gain access to a curated set of templates and checklists developed by compliance professionals with over 15 years of combined experience across fintech, healthtech, and cloud infrastructure firms. Upon successful completion, you earn a Certificate of Completion issued by The Art of Service. This credential is globally recognised, verifiable, and designed to enhance your professional credibility with employers, auditors, and executives. It demonstrates not just knowledge, but applied competency in one of today’s most in-demand compliance frameworks. Pricing is straightforward, with no hidden fees or surprise charges. What you see is exactly what you get - a premium, all-inclusive learning package built for serious professionals. We accept all major payment methods including Visa, Mastercard, and PayPal. Transactions are secured with industry-standard encryption, and your purchase is protected throughout. Your enrolment comes with a 30-day money-back guarantee. If you find the course does not meet your expectations for clarity, practicality, or professional value, simply request a full refund. There are no questions, no hoops, and no risk. After enrolment, you’ll receive a confirmation email. Your access details and course entry instructions will be sent separately once your materials are fully prepared. This ensures a smooth and secure onboarding experience. We know the biggest objection isn’t price - it’s uncertainty. “Will this actually work for me?” Especially if you’re not a compliance specialist. If you’re new to controls. If your company is small or fast-growing. If you’ve been burned by generic, one-size-fits-all training before. This works even if: you're handling compliance alongside other job duties, you have no prior audit experience, your IT environment is hybrid or cloud-native, your team resists documentation, or your leadership demands fast results with minimal spend. That’s why this course is built on real-world SOS and SaaS implementations - not academic theory. You’ll find role-specific guidance for Compliance Managers, CTOs, GRC Analysts, Security Leads, and Operations Directors. Each section speaks directly to your responsibilities, pain points, and goals. This is risk-reversed learning. We remove the guesswork, the friction, and the fear of failure. You get clarity from day one, tangible outputs at every stage, and a proven path to audit success - or your money back.
Module 1: Foundations of SOC 2 Compliance - Understanding the purpose and evolution of SOC 2
- Differentiating between SOC 1, SOC 2, and SOC 3
- When SOC 2 is required versus optional
- Who SOC 2 impacts within an organisation
- Overview of the AICPA and its role in SOC reporting
- Key stakeholders: auditors, customers, legal, and executives
- Understanding trust as a competitive differentiator
- Explaining Type I vs Type II reports to non-technical teams
- Identifying common triggers for initiating SOC 2
- Framing SOC 2 as a business enabler, not just a compliance task
- Establishing the business case for internal funding
- Understanding report distribution and confidentiality
- The role of third-party service organisations
- How SOC 2 supports enterprise sales cycles
- Myths and misconceptions about SOC 2 complexity
Module 2: The Five Trust Services Criteria (TSC) Deep Dive - Detailed breakdown of Security (Common Criteria)
- Confidentiality: defining and protecting sensitive data
- Privacy: aligning with legal requirements and expectations
- Processing Integrity: ensuring system accuracy and reliability
- Availability: achieving uptime and disaster readiness goals
- Mapping business functions to relevant TSC
- Determining which criteria apply to your service
- Creating a TSC applicability matrix
- How auditors assess each criterion
- Common pitfalls in interpreting the criteria
- Distinguishing between requirements and examples
- Understanding the points of focus under each criterion
- Linking control objectives to real business risks
- How to justify exclusion of certain criteria
- Balancing comprehensiveness with relevance
Module 3: Readiness Assessment and Gap Analysis - Preparing for a formal readiness evaluation
- Conducting an internal control inventory
- Using a structured gap analysis framework
- Scoring current state vs desired state
- Identifying missing, weak, or undocumented controls
- Classifying gaps by severity and remediation effort
- Engaging internal teams in gap detection
- Creating a visual gap closure roadmap
- Setting realistic timelines for remediation
- Using risk-based prioritisation for gap resolution
- Documenting rationale for control exceptions
- Leveraging existing policies and tools
- Integrating findings into project plans
- Reporting gap status to executive sponsors
- Validating gaps with independent reviewers
Module 4: Control Design and Documentation Strategy - Principles of effective control design
- Differentiating preventive, detective, and corrective controls
- Writing clear, testable control objectives
- Structuring control narratives for auditor clarity
- Using standard templates for control documentation
- Assigning control ownership across roles
- Ensuring controls are complete, consistent, and current
- Aligning controls with TSC points of focus
- Documenting automated vs manual controls
- Integrating control design into DevOps workflows
- Using flowcharts and process diagrams
- Version control for control documentation
- Avoiding over-documentation and redundancy
- Linking controls to policies and procedures
- Preparing documentation for auditor review
Module 5: Building the SOC 2 Policy Framework - Core policies required for SOC 2 compliance
- Developing an Information Security Policy
- Creating an Acceptable Use Policy (AUP)
- Building a Data Classification and Handling Policy
- Writing an Incident Response Plan (IRP)
- Establishing a Business Continuity and Disaster Recovery (BCDR) Plan
- Developing a Change Management Policy
- Creating a Configuration Management Policy
- Implementing an Access Control Policy
- Building a Vendor Risk Management Policy
- Drafting a Data Retention and Destruction Policy
- Establishing a Media Sanitisation Policy
- Creating a Physical Security Policy
- Writing a Remote Work Security Policy
- Developing a Password and Authentication Policy
Module 6: Evidence Collection and Testing Readiness - Understanding auditor evidence requirements
- Determining sample sizes and testing periods
- Collecting logs, screenshots, and system reports
- Extracting evidence from cloud providers (AWS, Azure, GCP)
- Using SaaS tools for automated evidence gathering
- Documenting user access reviews
- Retaining evidence for Type II periods
- Formatting evidence for auditor acceptance
- Organising evidence into a central repository
- Validating completeness and coverage
- Preparing evidence logs and cross-reference sheets
- Testing controls for operating effectiveness
- Documenting walkthroughs and process validations
- Responding to auditor inquiries proactively
- Using checklists to ensure nothing is missed
Module 7: Selecting and Working with Your Auditor - Understanding the auditor selection process
- Researching and shortlisting qualified firms
- Preparing a Request for Proposal (RFP) for SOC 2
- Evaluating auditor experience and industry fit
- Negotiating scope, timeline, and fees
- Establishing communication protocols
- Defining auditor responsibilities and boundaries
- Preparing for the initial scoping meeting
- Sharing documentation without over-disclosing
- Managing auditor requests efficiently
- Understanding fieldwork and testing phases
- Responding to auditor findings professionally
- Negotiating remediation timelines
- Reviewing draft reports for accuracy
- Finalising the SOC 2 report with confidence
Module 8: Role-Based Implementation Playbooks - SOC 2 responsibilities for the CTO or CIO
- Checklist for Compliance or GRC Managers
- Security Team: configuration and monitoring tasks
- IT Operations: access control and change management
- HR: onboarding, offboarding, and training execution
- Legal: vendor contracts and liability alignment
- Product Teams: secure development lifecycle (SDLC) integration
- Finance: budgeting for compliance and audit costs
- Customer Success: using SOC 2 in sales enablement
- Executives: reporting progress and risk exposure
- Legal Counsel: advising on data agreements
- Privacy Officers: aligning SOC 2 with data protection laws
- Cloud Engineers: maintaining evidence-ready configurations
- DevSecOps: embedding compliance into CI/CD pipelines
- Internal Audit: supporting readiness assessments
Module 9: Automating and Scaling Compliance - Integrating compliance with existing tools (Jira, Slack, Okta)
- Automating user access reviews
- Using workflow tools for control execution
- Setting up alerting for control deviations
- Implementing continuous monitoring for key controls
- Leveraging compliance automation platforms
- Reducing manual effort with integrations
- Scheduling recurring control tasks
- Configuring automatic evidence retention
- Creating dashboards for compliance status
- Aligning SOC 2 with ISO 27001 or HIPAA
- Using shared controls across multiple frameworks
- Building a compliance centre of excellence (CCoE)
- Scaling compliance for product expansion
- Managing compliance across subsidiaries or regions
Module 10: Preparing for the Audit Fieldwork - Creating an audit project plan
- Assigning audit response roles and backups
- Preparing a SOC 2 master document index
- Conducting internal mock walkthroughs
- Rehearsing responses to common auditor questions
- Validating control operation over time (Type II)
- Finalising policy versions and control narratives
- Completing final evidence collection
- Organising information for auditor access
- Setting up a secure audit portal or shared drive
- Creating a single source of truth for auditors
- Scheduling walkthrough sessions
- Clarifying auditor testing methods
- Preparing status updates and meeting minutes
- Avoiding last-minute surprises
Module 11: Responding to Findings and Audit Outcomes - Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- Understanding the purpose and evolution of SOC 2
- Differentiating between SOC 1, SOC 2, and SOC 3
- When SOC 2 is required versus optional
- Who SOC 2 impacts within an organisation
- Overview of the AICPA and its role in SOC reporting
- Key stakeholders: auditors, customers, legal, and executives
- Understanding trust as a competitive differentiator
- Explaining Type I vs Type II reports to non-technical teams
- Identifying common triggers for initiating SOC 2
- Framing SOC 2 as a business enabler, not just a compliance task
- Establishing the business case for internal funding
- Understanding report distribution and confidentiality
- The role of third-party service organisations
- How SOC 2 supports enterprise sales cycles
- Myths and misconceptions about SOC 2 complexity
Module 2: The Five Trust Services Criteria (TSC) Deep Dive - Detailed breakdown of Security (Common Criteria)
- Confidentiality: defining and protecting sensitive data
- Privacy: aligning with legal requirements and expectations
- Processing Integrity: ensuring system accuracy and reliability
- Availability: achieving uptime and disaster readiness goals
- Mapping business functions to relevant TSC
- Determining which criteria apply to your service
- Creating a TSC applicability matrix
- How auditors assess each criterion
- Common pitfalls in interpreting the criteria
- Distinguishing between requirements and examples
- Understanding the points of focus under each criterion
- Linking control objectives to real business risks
- How to justify exclusion of certain criteria
- Balancing comprehensiveness with relevance
Module 3: Readiness Assessment and Gap Analysis - Preparing for a formal readiness evaluation
- Conducting an internal control inventory
- Using a structured gap analysis framework
- Scoring current state vs desired state
- Identifying missing, weak, or undocumented controls
- Classifying gaps by severity and remediation effort
- Engaging internal teams in gap detection
- Creating a visual gap closure roadmap
- Setting realistic timelines for remediation
- Using risk-based prioritisation for gap resolution
- Documenting rationale for control exceptions
- Leveraging existing policies and tools
- Integrating findings into project plans
- Reporting gap status to executive sponsors
- Validating gaps with independent reviewers
Module 4: Control Design and Documentation Strategy - Principles of effective control design
- Differentiating preventive, detective, and corrective controls
- Writing clear, testable control objectives
- Structuring control narratives for auditor clarity
- Using standard templates for control documentation
- Assigning control ownership across roles
- Ensuring controls are complete, consistent, and current
- Aligning controls with TSC points of focus
- Documenting automated vs manual controls
- Integrating control design into DevOps workflows
- Using flowcharts and process diagrams
- Version control for control documentation
- Avoiding over-documentation and redundancy
- Linking controls to policies and procedures
- Preparing documentation for auditor review
Module 5: Building the SOC 2 Policy Framework - Core policies required for SOC 2 compliance
- Developing an Information Security Policy
- Creating an Acceptable Use Policy (AUP)
- Building a Data Classification and Handling Policy
- Writing an Incident Response Plan (IRP)
- Establishing a Business Continuity and Disaster Recovery (BCDR) Plan
- Developing a Change Management Policy
- Creating a Configuration Management Policy
- Implementing an Access Control Policy
- Building a Vendor Risk Management Policy
- Drafting a Data Retention and Destruction Policy
- Establishing a Media Sanitisation Policy
- Creating a Physical Security Policy
- Writing a Remote Work Security Policy
- Developing a Password and Authentication Policy
Module 6: Evidence Collection and Testing Readiness - Understanding auditor evidence requirements
- Determining sample sizes and testing periods
- Collecting logs, screenshots, and system reports
- Extracting evidence from cloud providers (AWS, Azure, GCP)
- Using SaaS tools for automated evidence gathering
- Documenting user access reviews
- Retaining evidence for Type II periods
- Formatting evidence for auditor acceptance
- Organising evidence into a central repository
- Validating completeness and coverage
- Preparing evidence logs and cross-reference sheets
- Testing controls for operating effectiveness
- Documenting walkthroughs and process validations
- Responding to auditor inquiries proactively
- Using checklists to ensure nothing is missed
Module 7: Selecting and Working with Your Auditor - Understanding the auditor selection process
- Researching and shortlisting qualified firms
- Preparing a Request for Proposal (RFP) for SOC 2
- Evaluating auditor experience and industry fit
- Negotiating scope, timeline, and fees
- Establishing communication protocols
- Defining auditor responsibilities and boundaries
- Preparing for the initial scoping meeting
- Sharing documentation without over-disclosing
- Managing auditor requests efficiently
- Understanding fieldwork and testing phases
- Responding to auditor findings professionally
- Negotiating remediation timelines
- Reviewing draft reports for accuracy
- Finalising the SOC 2 report with confidence
Module 8: Role-Based Implementation Playbooks - SOC 2 responsibilities for the CTO or CIO
- Checklist for Compliance or GRC Managers
- Security Team: configuration and monitoring tasks
- IT Operations: access control and change management
- HR: onboarding, offboarding, and training execution
- Legal: vendor contracts and liability alignment
- Product Teams: secure development lifecycle (SDLC) integration
- Finance: budgeting for compliance and audit costs
- Customer Success: using SOC 2 in sales enablement
- Executives: reporting progress and risk exposure
- Legal Counsel: advising on data agreements
- Privacy Officers: aligning SOC 2 with data protection laws
- Cloud Engineers: maintaining evidence-ready configurations
- DevSecOps: embedding compliance into CI/CD pipelines
- Internal Audit: supporting readiness assessments
Module 9: Automating and Scaling Compliance - Integrating compliance with existing tools (Jira, Slack, Okta)
- Automating user access reviews
- Using workflow tools for control execution
- Setting up alerting for control deviations
- Implementing continuous monitoring for key controls
- Leveraging compliance automation platforms
- Reducing manual effort with integrations
- Scheduling recurring control tasks
- Configuring automatic evidence retention
- Creating dashboards for compliance status
- Aligning SOC 2 with ISO 27001 or HIPAA
- Using shared controls across multiple frameworks
- Building a compliance centre of excellence (CCoE)
- Scaling compliance for product expansion
- Managing compliance across subsidiaries or regions
Module 10: Preparing for the Audit Fieldwork - Creating an audit project plan
- Assigning audit response roles and backups
- Preparing a SOC 2 master document index
- Conducting internal mock walkthroughs
- Rehearsing responses to common auditor questions
- Validating control operation over time (Type II)
- Finalising policy versions and control narratives
- Completing final evidence collection
- Organising information for auditor access
- Setting up a secure audit portal or shared drive
- Creating a single source of truth for auditors
- Scheduling walkthrough sessions
- Clarifying auditor testing methods
- Preparing status updates and meeting minutes
- Avoiding last-minute surprises
Module 11: Responding to Findings and Audit Outcomes - Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- Preparing for a formal readiness evaluation
- Conducting an internal control inventory
- Using a structured gap analysis framework
- Scoring current state vs desired state
- Identifying missing, weak, or undocumented controls
- Classifying gaps by severity and remediation effort
- Engaging internal teams in gap detection
- Creating a visual gap closure roadmap
- Setting realistic timelines for remediation
- Using risk-based prioritisation for gap resolution
- Documenting rationale for control exceptions
- Leveraging existing policies and tools
- Integrating findings into project plans
- Reporting gap status to executive sponsors
- Validating gaps with independent reviewers
Module 4: Control Design and Documentation Strategy - Principles of effective control design
- Differentiating preventive, detective, and corrective controls
- Writing clear, testable control objectives
- Structuring control narratives for auditor clarity
- Using standard templates for control documentation
- Assigning control ownership across roles
- Ensuring controls are complete, consistent, and current
- Aligning controls with TSC points of focus
- Documenting automated vs manual controls
- Integrating control design into DevOps workflows
- Using flowcharts and process diagrams
- Version control for control documentation
- Avoiding over-documentation and redundancy
- Linking controls to policies and procedures
- Preparing documentation for auditor review
Module 5: Building the SOC 2 Policy Framework - Core policies required for SOC 2 compliance
- Developing an Information Security Policy
- Creating an Acceptable Use Policy (AUP)
- Building a Data Classification and Handling Policy
- Writing an Incident Response Plan (IRP)
- Establishing a Business Continuity and Disaster Recovery (BCDR) Plan
- Developing a Change Management Policy
- Creating a Configuration Management Policy
- Implementing an Access Control Policy
- Building a Vendor Risk Management Policy
- Drafting a Data Retention and Destruction Policy
- Establishing a Media Sanitisation Policy
- Creating a Physical Security Policy
- Writing a Remote Work Security Policy
- Developing a Password and Authentication Policy
Module 6: Evidence Collection and Testing Readiness - Understanding auditor evidence requirements
- Determining sample sizes and testing periods
- Collecting logs, screenshots, and system reports
- Extracting evidence from cloud providers (AWS, Azure, GCP)
- Using SaaS tools for automated evidence gathering
- Documenting user access reviews
- Retaining evidence for Type II periods
- Formatting evidence for auditor acceptance
- Organising evidence into a central repository
- Validating completeness and coverage
- Preparing evidence logs and cross-reference sheets
- Testing controls for operating effectiveness
- Documenting walkthroughs and process validations
- Responding to auditor inquiries proactively
- Using checklists to ensure nothing is missed
Module 7: Selecting and Working with Your Auditor - Understanding the auditor selection process
- Researching and shortlisting qualified firms
- Preparing a Request for Proposal (RFP) for SOC 2
- Evaluating auditor experience and industry fit
- Negotiating scope, timeline, and fees
- Establishing communication protocols
- Defining auditor responsibilities and boundaries
- Preparing for the initial scoping meeting
- Sharing documentation without over-disclosing
- Managing auditor requests efficiently
- Understanding fieldwork and testing phases
- Responding to auditor findings professionally
- Negotiating remediation timelines
- Reviewing draft reports for accuracy
- Finalising the SOC 2 report with confidence
Module 8: Role-Based Implementation Playbooks - SOC 2 responsibilities for the CTO or CIO
- Checklist for Compliance or GRC Managers
- Security Team: configuration and monitoring tasks
- IT Operations: access control and change management
- HR: onboarding, offboarding, and training execution
- Legal: vendor contracts and liability alignment
- Product Teams: secure development lifecycle (SDLC) integration
- Finance: budgeting for compliance and audit costs
- Customer Success: using SOC 2 in sales enablement
- Executives: reporting progress and risk exposure
- Legal Counsel: advising on data agreements
- Privacy Officers: aligning SOC 2 with data protection laws
- Cloud Engineers: maintaining evidence-ready configurations
- DevSecOps: embedding compliance into CI/CD pipelines
- Internal Audit: supporting readiness assessments
Module 9: Automating and Scaling Compliance - Integrating compliance with existing tools (Jira, Slack, Okta)
- Automating user access reviews
- Using workflow tools for control execution
- Setting up alerting for control deviations
- Implementing continuous monitoring for key controls
- Leveraging compliance automation platforms
- Reducing manual effort with integrations
- Scheduling recurring control tasks
- Configuring automatic evidence retention
- Creating dashboards for compliance status
- Aligning SOC 2 with ISO 27001 or HIPAA
- Using shared controls across multiple frameworks
- Building a compliance centre of excellence (CCoE)
- Scaling compliance for product expansion
- Managing compliance across subsidiaries or regions
Module 10: Preparing for the Audit Fieldwork - Creating an audit project plan
- Assigning audit response roles and backups
- Preparing a SOC 2 master document index
- Conducting internal mock walkthroughs
- Rehearsing responses to common auditor questions
- Validating control operation over time (Type II)
- Finalising policy versions and control narratives
- Completing final evidence collection
- Organising information for auditor access
- Setting up a secure audit portal or shared drive
- Creating a single source of truth for auditors
- Scheduling walkthrough sessions
- Clarifying auditor testing methods
- Preparing status updates and meeting minutes
- Avoiding last-minute surprises
Module 11: Responding to Findings and Audit Outcomes - Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- Core policies required for SOC 2 compliance
- Developing an Information Security Policy
- Creating an Acceptable Use Policy (AUP)
- Building a Data Classification and Handling Policy
- Writing an Incident Response Plan (IRP)
- Establishing a Business Continuity and Disaster Recovery (BCDR) Plan
- Developing a Change Management Policy
- Creating a Configuration Management Policy
- Implementing an Access Control Policy
- Building a Vendor Risk Management Policy
- Drafting a Data Retention and Destruction Policy
- Establishing a Media Sanitisation Policy
- Creating a Physical Security Policy
- Writing a Remote Work Security Policy
- Developing a Password and Authentication Policy
Module 6: Evidence Collection and Testing Readiness - Understanding auditor evidence requirements
- Determining sample sizes and testing periods
- Collecting logs, screenshots, and system reports
- Extracting evidence from cloud providers (AWS, Azure, GCP)
- Using SaaS tools for automated evidence gathering
- Documenting user access reviews
- Retaining evidence for Type II periods
- Formatting evidence for auditor acceptance
- Organising evidence into a central repository
- Validating completeness and coverage
- Preparing evidence logs and cross-reference sheets
- Testing controls for operating effectiveness
- Documenting walkthroughs and process validations
- Responding to auditor inquiries proactively
- Using checklists to ensure nothing is missed
Module 7: Selecting and Working with Your Auditor - Understanding the auditor selection process
- Researching and shortlisting qualified firms
- Preparing a Request for Proposal (RFP) for SOC 2
- Evaluating auditor experience and industry fit
- Negotiating scope, timeline, and fees
- Establishing communication protocols
- Defining auditor responsibilities and boundaries
- Preparing for the initial scoping meeting
- Sharing documentation without over-disclosing
- Managing auditor requests efficiently
- Understanding fieldwork and testing phases
- Responding to auditor findings professionally
- Negotiating remediation timelines
- Reviewing draft reports for accuracy
- Finalising the SOC 2 report with confidence
Module 8: Role-Based Implementation Playbooks - SOC 2 responsibilities for the CTO or CIO
- Checklist for Compliance or GRC Managers
- Security Team: configuration and monitoring tasks
- IT Operations: access control and change management
- HR: onboarding, offboarding, and training execution
- Legal: vendor contracts and liability alignment
- Product Teams: secure development lifecycle (SDLC) integration
- Finance: budgeting for compliance and audit costs
- Customer Success: using SOC 2 in sales enablement
- Executives: reporting progress and risk exposure
- Legal Counsel: advising on data agreements
- Privacy Officers: aligning SOC 2 with data protection laws
- Cloud Engineers: maintaining evidence-ready configurations
- DevSecOps: embedding compliance into CI/CD pipelines
- Internal Audit: supporting readiness assessments
Module 9: Automating and Scaling Compliance - Integrating compliance with existing tools (Jira, Slack, Okta)
- Automating user access reviews
- Using workflow tools for control execution
- Setting up alerting for control deviations
- Implementing continuous monitoring for key controls
- Leveraging compliance automation platforms
- Reducing manual effort with integrations
- Scheduling recurring control tasks
- Configuring automatic evidence retention
- Creating dashboards for compliance status
- Aligning SOC 2 with ISO 27001 or HIPAA
- Using shared controls across multiple frameworks
- Building a compliance centre of excellence (CCoE)
- Scaling compliance for product expansion
- Managing compliance across subsidiaries or regions
Module 10: Preparing for the Audit Fieldwork - Creating an audit project plan
- Assigning audit response roles and backups
- Preparing a SOC 2 master document index
- Conducting internal mock walkthroughs
- Rehearsing responses to common auditor questions
- Validating control operation over time (Type II)
- Finalising policy versions and control narratives
- Completing final evidence collection
- Organising information for auditor access
- Setting up a secure audit portal or shared drive
- Creating a single source of truth for auditors
- Scheduling walkthrough sessions
- Clarifying auditor testing methods
- Preparing status updates and meeting minutes
- Avoiding last-minute surprises
Module 11: Responding to Findings and Audit Outcomes - Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- Understanding the auditor selection process
- Researching and shortlisting qualified firms
- Preparing a Request for Proposal (RFP) for SOC 2
- Evaluating auditor experience and industry fit
- Negotiating scope, timeline, and fees
- Establishing communication protocols
- Defining auditor responsibilities and boundaries
- Preparing for the initial scoping meeting
- Sharing documentation without over-disclosing
- Managing auditor requests efficiently
- Understanding fieldwork and testing phases
- Responding to auditor findings professionally
- Negotiating remediation timelines
- Reviewing draft reports for accuracy
- Finalising the SOC 2 report with confidence
Module 8: Role-Based Implementation Playbooks - SOC 2 responsibilities for the CTO or CIO
- Checklist for Compliance or GRC Managers
- Security Team: configuration and monitoring tasks
- IT Operations: access control and change management
- HR: onboarding, offboarding, and training execution
- Legal: vendor contracts and liability alignment
- Product Teams: secure development lifecycle (SDLC) integration
- Finance: budgeting for compliance and audit costs
- Customer Success: using SOC 2 in sales enablement
- Executives: reporting progress and risk exposure
- Legal Counsel: advising on data agreements
- Privacy Officers: aligning SOC 2 with data protection laws
- Cloud Engineers: maintaining evidence-ready configurations
- DevSecOps: embedding compliance into CI/CD pipelines
- Internal Audit: supporting readiness assessments
Module 9: Automating and Scaling Compliance - Integrating compliance with existing tools (Jira, Slack, Okta)
- Automating user access reviews
- Using workflow tools for control execution
- Setting up alerting for control deviations
- Implementing continuous monitoring for key controls
- Leveraging compliance automation platforms
- Reducing manual effort with integrations
- Scheduling recurring control tasks
- Configuring automatic evidence retention
- Creating dashboards for compliance status
- Aligning SOC 2 with ISO 27001 or HIPAA
- Using shared controls across multiple frameworks
- Building a compliance centre of excellence (CCoE)
- Scaling compliance for product expansion
- Managing compliance across subsidiaries or regions
Module 10: Preparing for the Audit Fieldwork - Creating an audit project plan
- Assigning audit response roles and backups
- Preparing a SOC 2 master document index
- Conducting internal mock walkthroughs
- Rehearsing responses to common auditor questions
- Validating control operation over time (Type II)
- Finalising policy versions and control narratives
- Completing final evidence collection
- Organising information for auditor access
- Setting up a secure audit portal or shared drive
- Creating a single source of truth for auditors
- Scheduling walkthrough sessions
- Clarifying auditor testing methods
- Preparing status updates and meeting minutes
- Avoiding last-minute surprises
Module 11: Responding to Findings and Audit Outcomes - Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- Integrating compliance with existing tools (Jira, Slack, Okta)
- Automating user access reviews
- Using workflow tools for control execution
- Setting up alerting for control deviations
- Implementing continuous monitoring for key controls
- Leveraging compliance automation platforms
- Reducing manual effort with integrations
- Scheduling recurring control tasks
- Configuring automatic evidence retention
- Creating dashboards for compliance status
- Aligning SOC 2 with ISO 27001 or HIPAA
- Using shared controls across multiple frameworks
- Building a compliance centre of excellence (CCoE)
- Scaling compliance for product expansion
- Managing compliance across subsidiaries or regions
Module 10: Preparing for the Audit Fieldwork - Creating an audit project plan
- Assigning audit response roles and backups
- Preparing a SOC 2 master document index
- Conducting internal mock walkthroughs
- Rehearsing responses to common auditor questions
- Validating control operation over time (Type II)
- Finalising policy versions and control narratives
- Completing final evidence collection
- Organising information for auditor access
- Setting up a secure audit portal or shared drive
- Creating a single source of truth for auditors
- Scheduling walkthrough sessions
- Clarifying auditor testing methods
- Preparing status updates and meeting minutes
- Avoiding last-minute surprises
Module 11: Responding to Findings and Audit Outcomes - Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- Understanding Common Criteria vs. Complementary Criteria
- Decoding auditor findings and exceptions
- Differentiating between control gaps and evidence gaps
- Preparing formal management responses
- Drafting remediation action plans with owners and deadlines
- Budgeting time and resources for fixes
- Re-testing corrected controls
- Submitting evidence of remediation
- Understanding unqualified vs qualified opinions
- Negotiating report wording with the auditor
- Handling qualification scenarios professionally
- Communicating audit results internally
- Leveraging a clean audit report in sales
- Updating marketing and sales collateral
- Planning for annual renewals and continuous improvement
Module 12: Beyond the Audit - Sustaining Compliance - Building an ongoing compliance operating model
- Scheduling quarterly control reviews
- Updating documentation with organisational changes
- Managing personnel transitions and ownership
- Integrating SOC 2 into M&A due diligence
- Using compliance as a product differentiator
- Training new employees on SOC 2 principles
- Refreshing policies annually or after incidents
- Monitoring changes in AICPA guidance
- Preparing for additional criteria or expanded scope
- Scaling to multiple systems or locations
- Integrating with customer request platforms (e.g. TrustHub)
- Leveraging automation for recurring efforts
- Reducing annual audit costs through preparation
- Positioning compliance as an innovation enabler
Module 13: Advanced Topics and Edge Cases - SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps
Module 14: Certification, Credentials, and Career Advancement - Value of the Certificate of Completion from The Art of Service
- How to list certification on LinkedIn and resumes
- Leveraging certification in job applications and promotions
- Demonstrating expertise to clients and stakeholders
- Using certification to justify salary increases
- Transitioning into GRC, compliance, or security leadership
- Building credibility as a compliance subject matter expert
- Preparing for advanced certifications (CISA, CISSP, CRISC)
- Networking within compliance and audit communities
- Contributing to internal compliance frameworks
- Speaking confidently about SOC 2 at board level
- Framing compliance as strategic execution
- Developing a personal brand in information security
- Using course projects as portfolio pieces
- Tracking continued professional development hours
- SOC 2 for startups with limited resources
- Handling compliance in fully remote organisations
- Managing SOC 2 for multi-tenant SaaS applications
- Addressing third-party dependencies and subprocessors
- Documenting reliance on vendor SOC 2 reports
- Handling hybrid or on-premise infrastructure
- Dealing with legacy systems and technical debt
- Compliance considerations for AI or ML workloads
- SOC 2 in regulated industries (health, finance, education)
- Aligning with GDPR, CCPA, or other privacy laws
- Managing data residency and cross-border transfers
- Using encryption and key management effectively
- Securing APIs and microservices architectures
- Handling open source components in scope systems
- Compliance for blockchain or decentralised apps