Mastering SOC 2 Compliance: From Self-Assessment to Certification Readiness
You're under pressure. Your clients are asking for proof of compliance. Your contracts are on hold. Your board wants answers. And right now, SOC 2 feels like a moving target-complex, time-consuming, and risky to get wrong. One missed control, one gap in documentation, and your organisation could be deemed non-compliant. The cost? Lost deals, reputational damage, and stalled growth. You need a clear path from confusion to confidence. Fast. Mastering SOC 2 Compliance: From Self-Assessment to Certification Readiness is that path. This course transforms your knowledge from fragmented to complete. From reactive to strategic. You’ll go from uncertain and overwhelmed to fully prepared for a successful audit in as little as 90 days. Imagine walking into your next client meeting with a board-ready compliance posture. A fully documented risk assessment. Precise control mappings. Articulated policies. A clear timeline to certification. That’s the outcome this course delivers-structured, step-by-step, with every tool you need to succeed. Jamal T., Security Lead at a 350-person SaaS company: “We had six months of failed audit prep. After two weeks in this course, we rebuilt our entire compliance framework. Six weeks later, we passed our Type II audit with zero exceptions. This wasn’t training-it was transformation.” This isn’t theory. It’s the exact blueprint used by high-growth tech firms to streamline readiness and win enterprise trust. Here’s how this course is structured to help you get there.Course Format & Delivery Details Self-paced. On-demand. Built for real professionals with real deadlines. This course is designed for leaders, compliance officers, security architects, and GRC managers who need to move fast and get it right. You’ll gain immediate access to a structured, no-fluff curriculum that walks you through every critical phase of SOC 2 compliance. What You Get
- Self-paced learning-Start when you’re ready. Progress at your speed.
- Immediate online access-Begin the moment you enroll, no waitlist, no delays.
- On-demand structure-No fixed schedules, live sessions, or time commitments.
- Lifetime access-Return anytime. Updates included at no extra cost, ensuring your knowledge stays current as SOC 2 evolves.
- 24/7 global access-Learn from any device, anywhere, anytime. Fully mobile-friendly and responsive.
- Comprehensive instructor support-Guidance is embedded in every module. Direct references to authoritative sources, real-world templates, and implementation checklists ensure accuracy and accountability.
- Certificate of Completion issued by The Art of Service-Globally recognised, rigorously structured, and respected by audit firms and enterprise clients alike. This credential validates your mastery of SOC 2 readiness.
Completion in 6 to 12 weeks, depending on your pace. Many learners report having a complete self-assessment and control inventory ready in under 30 days-accelerating audit prep by months. No Risk. No Hidden Fees. No Compromises.
Pricing is straightforward, transparent, and final. There are no recurring charges, upsells, or hidden fees. You pay once, learn forever. - Secure checkout with Visa, Mastercard, PayPal
- Full 30-day money-back guarantee-zero risk. If the course doesn’t meet your expectations, you’re fully refunded, no questions asked.
- After enrollment, you’ll receive a confirmation email. Your access details will be delivered separately once course materials are ready-ensuring a secure and optimal learning experience.
This Works - Even If:
- You’ve never touched a control framework before.
- Your team is resistant, time-poor, or spread across departments.
- You’re not in a large enterprise-this system scales for startups and mid-market teams.
- You’ve failed a past audit or were dinged on a questionnaire.
- You’re not a lawyer or auditor-this is designed for practitioners, not theorists.
Over 3,200 professionals have used this methodology to pass audits, win contracts, and streamline compliance. The difference? Clarity. Structure. And a step-by-step process that removes guesswork. Your success isn’t left to chance. With lifetime access, proven frameworks, and a globally trusted certificate, you’re not just buying a course-you’re investing in a competitive advantage that pays dividends in credibility, trust, and revenue.
Module 1: Introduction to SOC 2 and the Compliance Landscape - Understanding SOC 2: Purpose, evolution, and industry relevance
- Differentiating between SOC 1, SOC 2, and SOC 3 reports
- Type I vs Type II audits: Key distinctions and strategic implications
- Who needs SOC 2? Use cases for SaaS, fintech, healthcare, and cloud providers
- The role of the AICPA and Trust Services Criteria
- How SOC 2 strengthens customer acquisition and retention
- Common myths and misconceptions about SOC 2 compliance
- Regulatory context: How SOC 2 intersects with ISO 27001, GDPR, HIPAA, and CCPA
- Understanding auditor expectations and report language
- When to start: Timing your compliance journey based on business stage
Module 2: Foundational Concepts and Risk Management - Defining risk in the context of information systems
- Establishing a risk appetite and tolerance framework
- Developing a risk register with clear ownership and mitigation paths
- Conducting threat modeling for cloud-based environments
- Identifying inherent vs residual risk
- Risk assessment methodologies: Qualitative vs quantitative approaches
- Mapping business objectives to compliance outcomes
- Integrating risk management into daily operations
- Creating a risk escalation matrix
- Best practices for documenting risk decisions and review cycles
Module 3: The Trust Services Criteria (TSC) Deep Dive - Overview of the five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy
- Security Principle CC1.1: Demonstrating proactive control design
- Availability Principle CC2.1: Ensuring operational resilience
- Processing Integrity Principle CC3.1: Guaranteeing system accuracy and completeness
- Confidentiality Principle CC4.1: Protecting sensitive data in transit and storage
- Privacy Principle CC5.1: Managing PII lifecycle in compliance with standards
- Mapping organisational capabilities to applicable criteria
- Selecting the right TSC for your service offering
- Common auditor pitfalls in TSC evaluation
- Industry-specific TSC application examples
Module 4: Control Design and Implementation Fundamentals - What makes a control effective, measurable, and testable
- Differentiating preventive, detective, and corrective controls
- Control ownership: Assigning accountability across departments
- Automated vs manual controls: Trade-offs and use cases
- Designing policy-based controls with clear enforcement mechanisms
- Control operating effectiveness: What auditors actually assess
- Common control failures and how to avoid them
- Using control matrices for clarity and alignment
- Version control for policies and procedures
- Integrating controls into onboarding and change management
Module 5: Self-Assessment Framework and Gap Analysis - Building a SOC 2 readiness roadmap
- Conducting a comprehensive self-assessment audit
- Using the Art of Service Readiness Scorecard
- Identifying control gaps with precision
- Classifying gaps by severity and remediation urgency
- Creating a gap remediation backlog
- Prioritising fixes based on risk and resource availability
- Drafting evidence collection plans for each control
- Validating control existence through walkthroughs
- Establishing a control inventory database
Module 6: Policy Development and Documentation Standards - Core policies required for SOC 2 compliance
- Security Policy: Structure, content, and approval workflow
- AUP - Acceptable Use Policy for employees and contractors
- Incident Response Policy: Trigger conditions and escalation paths
- Disaster Recovery and Business Continuity Planning policy
- Data Classification and Handling Policy
- Vendor Risk Management Policy
- Change Management Policy
- Access Control Policy
- Retention and Destruction Policy
- How to document policy exceptions and approvals
- Ensuring policies are living documents with review cycles
- Using standard templates to accelerate drafting
- Obtaining executive sign-off and distribution records
- Publishing policies in a central repository with access logs
Module 7: Access Control and Identity Governance - Implementing least privilege access across systems
- Role-Based Access Control (RBAC) design principles
- Segregation of Duties (SoD) in administrative access
- User provisioning and deprovisioning workflows
- Multi-Factor Authentication (MFA) enforcement strategies
- Just-In-Time (JIT) access for privileged roles
- Monitoring and reviewing access logs
- Regular access reviews: Frequency, scope, and documentation
- Handling contractor and third-party access
- Using SSO and identity providers securely
- Account lockout and password complexity policies
- Emergency access procedures (break glass accounts)
- Logging and alerting for privileged activity
- Integrating access reviews into offboarding
- Automating attestation with tools like Okta, Azure AD, or Google Workspace
Module 8: Change Management and Configuration Control - Designing a robust change management process
- Defining change types: Standard, emergency, and major
- Creating a change advisory board (CAB) and role definitions
- Documenting change requests with impact assessments
- Pre-approval requirements and backout plans
- Change implementation windows and communication plans
- Post-implementation review and verification
- Logging changes in a central repository
- Automation vs manual changes: Control implications
- Integrating change management with version control systems
- Handling emergency changes without compromising controls
- Ensuring configuration consistency across environments
- Using Infrastructure as Code (IaC) to enforce baselines
- Versioning and rollback procedures
- Linking changes to incident and problem management
Module 9: Incident Management and Response - Building a compliant incident response lifecycle
- Defining incident severity levels and response timelines
- Establishing an incident response team (IRT) and roles
- Creating a 24/7 incident reporting channel
- Incident logging: What to capture and retain
- Containment, eradication, and recovery procedures
- Post-incident reviews and root cause analysis
- Drafting internal and external incident communication plans
- Legal and regulatory reporting obligations
- Integrating monitoring tools like SIEM and EDR
- Simulating incidents with tabletop exercises
- Training staff on incident recognition and escalation
- Metrics for tracking incident frequency and resolution
- Linking incident data to control improvements
- Preserving evidence for audit readiness
Module 10: Monitoring, Logging, and Audit Trails - Designing a central logging architecture
- What systems and events require logging (servers, cloud platforms, applications)
- Log retention periods and secure storage requirements
- Ensuring log integrity with hashing and write-once storage
- Automated monitoring alerts for critical events
- Correlating logs across systems for forensic analysis
- Access controls for log viewing and export functions
- Using log management tools like Splunk, Graylog, or AWS CloudTrail
- Regular review of logs by independent parties
- Detecting unauthorised access or configuration drift
- Documenting monitoring coverage and gaps
- Integrating logs into incident and change management
- Generating monitoring reports for auditors
- Using anomaly detection for proactive security
- Validating log completeness during self-assessment
Module 11: Vendor Risk Management and Third-Party Assurance - Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Understanding SOC 2: Purpose, evolution, and industry relevance
- Differentiating between SOC 1, SOC 2, and SOC 3 reports
- Type I vs Type II audits: Key distinctions and strategic implications
- Who needs SOC 2? Use cases for SaaS, fintech, healthcare, and cloud providers
- The role of the AICPA and Trust Services Criteria
- How SOC 2 strengthens customer acquisition and retention
- Common myths and misconceptions about SOC 2 compliance
- Regulatory context: How SOC 2 intersects with ISO 27001, GDPR, HIPAA, and CCPA
- Understanding auditor expectations and report language
- When to start: Timing your compliance journey based on business stage
Module 2: Foundational Concepts and Risk Management - Defining risk in the context of information systems
- Establishing a risk appetite and tolerance framework
- Developing a risk register with clear ownership and mitigation paths
- Conducting threat modeling for cloud-based environments
- Identifying inherent vs residual risk
- Risk assessment methodologies: Qualitative vs quantitative approaches
- Mapping business objectives to compliance outcomes
- Integrating risk management into daily operations
- Creating a risk escalation matrix
- Best practices for documenting risk decisions and review cycles
Module 3: The Trust Services Criteria (TSC) Deep Dive - Overview of the five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy
- Security Principle CC1.1: Demonstrating proactive control design
- Availability Principle CC2.1: Ensuring operational resilience
- Processing Integrity Principle CC3.1: Guaranteeing system accuracy and completeness
- Confidentiality Principle CC4.1: Protecting sensitive data in transit and storage
- Privacy Principle CC5.1: Managing PII lifecycle in compliance with standards
- Mapping organisational capabilities to applicable criteria
- Selecting the right TSC for your service offering
- Common auditor pitfalls in TSC evaluation
- Industry-specific TSC application examples
Module 4: Control Design and Implementation Fundamentals - What makes a control effective, measurable, and testable
- Differentiating preventive, detective, and corrective controls
- Control ownership: Assigning accountability across departments
- Automated vs manual controls: Trade-offs and use cases
- Designing policy-based controls with clear enforcement mechanisms
- Control operating effectiveness: What auditors actually assess
- Common control failures and how to avoid them
- Using control matrices for clarity and alignment
- Version control for policies and procedures
- Integrating controls into onboarding and change management
Module 5: Self-Assessment Framework and Gap Analysis - Building a SOC 2 readiness roadmap
- Conducting a comprehensive self-assessment audit
- Using the Art of Service Readiness Scorecard
- Identifying control gaps with precision
- Classifying gaps by severity and remediation urgency
- Creating a gap remediation backlog
- Prioritising fixes based on risk and resource availability
- Drafting evidence collection plans for each control
- Validating control existence through walkthroughs
- Establishing a control inventory database
Module 6: Policy Development and Documentation Standards - Core policies required for SOC 2 compliance
- Security Policy: Structure, content, and approval workflow
- AUP - Acceptable Use Policy for employees and contractors
- Incident Response Policy: Trigger conditions and escalation paths
- Disaster Recovery and Business Continuity Planning policy
- Data Classification and Handling Policy
- Vendor Risk Management Policy
- Change Management Policy
- Access Control Policy
- Retention and Destruction Policy
- How to document policy exceptions and approvals
- Ensuring policies are living documents with review cycles
- Using standard templates to accelerate drafting
- Obtaining executive sign-off and distribution records
- Publishing policies in a central repository with access logs
Module 7: Access Control and Identity Governance - Implementing least privilege access across systems
- Role-Based Access Control (RBAC) design principles
- Segregation of Duties (SoD) in administrative access
- User provisioning and deprovisioning workflows
- Multi-Factor Authentication (MFA) enforcement strategies
- Just-In-Time (JIT) access for privileged roles
- Monitoring and reviewing access logs
- Regular access reviews: Frequency, scope, and documentation
- Handling contractor and third-party access
- Using SSO and identity providers securely
- Account lockout and password complexity policies
- Emergency access procedures (break glass accounts)
- Logging and alerting for privileged activity
- Integrating access reviews into offboarding
- Automating attestation with tools like Okta, Azure AD, or Google Workspace
Module 8: Change Management and Configuration Control - Designing a robust change management process
- Defining change types: Standard, emergency, and major
- Creating a change advisory board (CAB) and role definitions
- Documenting change requests with impact assessments
- Pre-approval requirements and backout plans
- Change implementation windows and communication plans
- Post-implementation review and verification
- Logging changes in a central repository
- Automation vs manual changes: Control implications
- Integrating change management with version control systems
- Handling emergency changes without compromising controls
- Ensuring configuration consistency across environments
- Using Infrastructure as Code (IaC) to enforce baselines
- Versioning and rollback procedures
- Linking changes to incident and problem management
Module 9: Incident Management and Response - Building a compliant incident response lifecycle
- Defining incident severity levels and response timelines
- Establishing an incident response team (IRT) and roles
- Creating a 24/7 incident reporting channel
- Incident logging: What to capture and retain
- Containment, eradication, and recovery procedures
- Post-incident reviews and root cause analysis
- Drafting internal and external incident communication plans
- Legal and regulatory reporting obligations
- Integrating monitoring tools like SIEM and EDR
- Simulating incidents with tabletop exercises
- Training staff on incident recognition and escalation
- Metrics for tracking incident frequency and resolution
- Linking incident data to control improvements
- Preserving evidence for audit readiness
Module 10: Monitoring, Logging, and Audit Trails - Designing a central logging architecture
- What systems and events require logging (servers, cloud platforms, applications)
- Log retention periods and secure storage requirements
- Ensuring log integrity with hashing and write-once storage
- Automated monitoring alerts for critical events
- Correlating logs across systems for forensic analysis
- Access controls for log viewing and export functions
- Using log management tools like Splunk, Graylog, or AWS CloudTrail
- Regular review of logs by independent parties
- Detecting unauthorised access or configuration drift
- Documenting monitoring coverage and gaps
- Integrating logs into incident and change management
- Generating monitoring reports for auditors
- Using anomaly detection for proactive security
- Validating log completeness during self-assessment
Module 11: Vendor Risk Management and Third-Party Assurance - Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Overview of the five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy
- Security Principle CC1.1: Demonstrating proactive control design
- Availability Principle CC2.1: Ensuring operational resilience
- Processing Integrity Principle CC3.1: Guaranteeing system accuracy and completeness
- Confidentiality Principle CC4.1: Protecting sensitive data in transit and storage
- Privacy Principle CC5.1: Managing PII lifecycle in compliance with standards
- Mapping organisational capabilities to applicable criteria
- Selecting the right TSC for your service offering
- Common auditor pitfalls in TSC evaluation
- Industry-specific TSC application examples
Module 4: Control Design and Implementation Fundamentals - What makes a control effective, measurable, and testable
- Differentiating preventive, detective, and corrective controls
- Control ownership: Assigning accountability across departments
- Automated vs manual controls: Trade-offs and use cases
- Designing policy-based controls with clear enforcement mechanisms
- Control operating effectiveness: What auditors actually assess
- Common control failures and how to avoid them
- Using control matrices for clarity and alignment
- Version control for policies and procedures
- Integrating controls into onboarding and change management
Module 5: Self-Assessment Framework and Gap Analysis - Building a SOC 2 readiness roadmap
- Conducting a comprehensive self-assessment audit
- Using the Art of Service Readiness Scorecard
- Identifying control gaps with precision
- Classifying gaps by severity and remediation urgency
- Creating a gap remediation backlog
- Prioritising fixes based on risk and resource availability
- Drafting evidence collection plans for each control
- Validating control existence through walkthroughs
- Establishing a control inventory database
Module 6: Policy Development and Documentation Standards - Core policies required for SOC 2 compliance
- Security Policy: Structure, content, and approval workflow
- AUP - Acceptable Use Policy for employees and contractors
- Incident Response Policy: Trigger conditions and escalation paths
- Disaster Recovery and Business Continuity Planning policy
- Data Classification and Handling Policy
- Vendor Risk Management Policy
- Change Management Policy
- Access Control Policy
- Retention and Destruction Policy
- How to document policy exceptions and approvals
- Ensuring policies are living documents with review cycles
- Using standard templates to accelerate drafting
- Obtaining executive sign-off and distribution records
- Publishing policies in a central repository with access logs
Module 7: Access Control and Identity Governance - Implementing least privilege access across systems
- Role-Based Access Control (RBAC) design principles
- Segregation of Duties (SoD) in administrative access
- User provisioning and deprovisioning workflows
- Multi-Factor Authentication (MFA) enforcement strategies
- Just-In-Time (JIT) access for privileged roles
- Monitoring and reviewing access logs
- Regular access reviews: Frequency, scope, and documentation
- Handling contractor and third-party access
- Using SSO and identity providers securely
- Account lockout and password complexity policies
- Emergency access procedures (break glass accounts)
- Logging and alerting for privileged activity
- Integrating access reviews into offboarding
- Automating attestation with tools like Okta, Azure AD, or Google Workspace
Module 8: Change Management and Configuration Control - Designing a robust change management process
- Defining change types: Standard, emergency, and major
- Creating a change advisory board (CAB) and role definitions
- Documenting change requests with impact assessments
- Pre-approval requirements and backout plans
- Change implementation windows and communication plans
- Post-implementation review and verification
- Logging changes in a central repository
- Automation vs manual changes: Control implications
- Integrating change management with version control systems
- Handling emergency changes without compromising controls
- Ensuring configuration consistency across environments
- Using Infrastructure as Code (IaC) to enforce baselines
- Versioning and rollback procedures
- Linking changes to incident and problem management
Module 9: Incident Management and Response - Building a compliant incident response lifecycle
- Defining incident severity levels and response timelines
- Establishing an incident response team (IRT) and roles
- Creating a 24/7 incident reporting channel
- Incident logging: What to capture and retain
- Containment, eradication, and recovery procedures
- Post-incident reviews and root cause analysis
- Drafting internal and external incident communication plans
- Legal and regulatory reporting obligations
- Integrating monitoring tools like SIEM and EDR
- Simulating incidents with tabletop exercises
- Training staff on incident recognition and escalation
- Metrics for tracking incident frequency and resolution
- Linking incident data to control improvements
- Preserving evidence for audit readiness
Module 10: Monitoring, Logging, and Audit Trails - Designing a central logging architecture
- What systems and events require logging (servers, cloud platforms, applications)
- Log retention periods and secure storage requirements
- Ensuring log integrity with hashing and write-once storage
- Automated monitoring alerts for critical events
- Correlating logs across systems for forensic analysis
- Access controls for log viewing and export functions
- Using log management tools like Splunk, Graylog, or AWS CloudTrail
- Regular review of logs by independent parties
- Detecting unauthorised access or configuration drift
- Documenting monitoring coverage and gaps
- Integrating logs into incident and change management
- Generating monitoring reports for auditors
- Using anomaly detection for proactive security
- Validating log completeness during self-assessment
Module 11: Vendor Risk Management and Third-Party Assurance - Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Building a SOC 2 readiness roadmap
- Conducting a comprehensive self-assessment audit
- Using the Art of Service Readiness Scorecard
- Identifying control gaps with precision
- Classifying gaps by severity and remediation urgency
- Creating a gap remediation backlog
- Prioritising fixes based on risk and resource availability
- Drafting evidence collection plans for each control
- Validating control existence through walkthroughs
- Establishing a control inventory database
Module 6: Policy Development and Documentation Standards - Core policies required for SOC 2 compliance
- Security Policy: Structure, content, and approval workflow
- AUP - Acceptable Use Policy for employees and contractors
- Incident Response Policy: Trigger conditions and escalation paths
- Disaster Recovery and Business Continuity Planning policy
- Data Classification and Handling Policy
- Vendor Risk Management Policy
- Change Management Policy
- Access Control Policy
- Retention and Destruction Policy
- How to document policy exceptions and approvals
- Ensuring policies are living documents with review cycles
- Using standard templates to accelerate drafting
- Obtaining executive sign-off and distribution records
- Publishing policies in a central repository with access logs
Module 7: Access Control and Identity Governance - Implementing least privilege access across systems
- Role-Based Access Control (RBAC) design principles
- Segregation of Duties (SoD) in administrative access
- User provisioning and deprovisioning workflows
- Multi-Factor Authentication (MFA) enforcement strategies
- Just-In-Time (JIT) access for privileged roles
- Monitoring and reviewing access logs
- Regular access reviews: Frequency, scope, and documentation
- Handling contractor and third-party access
- Using SSO and identity providers securely
- Account lockout and password complexity policies
- Emergency access procedures (break glass accounts)
- Logging and alerting for privileged activity
- Integrating access reviews into offboarding
- Automating attestation with tools like Okta, Azure AD, or Google Workspace
Module 8: Change Management and Configuration Control - Designing a robust change management process
- Defining change types: Standard, emergency, and major
- Creating a change advisory board (CAB) and role definitions
- Documenting change requests with impact assessments
- Pre-approval requirements and backout plans
- Change implementation windows and communication plans
- Post-implementation review and verification
- Logging changes in a central repository
- Automation vs manual changes: Control implications
- Integrating change management with version control systems
- Handling emergency changes without compromising controls
- Ensuring configuration consistency across environments
- Using Infrastructure as Code (IaC) to enforce baselines
- Versioning and rollback procedures
- Linking changes to incident and problem management
Module 9: Incident Management and Response - Building a compliant incident response lifecycle
- Defining incident severity levels and response timelines
- Establishing an incident response team (IRT) and roles
- Creating a 24/7 incident reporting channel
- Incident logging: What to capture and retain
- Containment, eradication, and recovery procedures
- Post-incident reviews and root cause analysis
- Drafting internal and external incident communication plans
- Legal and regulatory reporting obligations
- Integrating monitoring tools like SIEM and EDR
- Simulating incidents with tabletop exercises
- Training staff on incident recognition and escalation
- Metrics for tracking incident frequency and resolution
- Linking incident data to control improvements
- Preserving evidence for audit readiness
Module 10: Monitoring, Logging, and Audit Trails - Designing a central logging architecture
- What systems and events require logging (servers, cloud platforms, applications)
- Log retention periods and secure storage requirements
- Ensuring log integrity with hashing and write-once storage
- Automated monitoring alerts for critical events
- Correlating logs across systems for forensic analysis
- Access controls for log viewing and export functions
- Using log management tools like Splunk, Graylog, or AWS CloudTrail
- Regular review of logs by independent parties
- Detecting unauthorised access or configuration drift
- Documenting monitoring coverage and gaps
- Integrating logs into incident and change management
- Generating monitoring reports for auditors
- Using anomaly detection for proactive security
- Validating log completeness during self-assessment
Module 11: Vendor Risk Management and Third-Party Assurance - Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Implementing least privilege access across systems
- Role-Based Access Control (RBAC) design principles
- Segregation of Duties (SoD) in administrative access
- User provisioning and deprovisioning workflows
- Multi-Factor Authentication (MFA) enforcement strategies
- Just-In-Time (JIT) access for privileged roles
- Monitoring and reviewing access logs
- Regular access reviews: Frequency, scope, and documentation
- Handling contractor and third-party access
- Using SSO and identity providers securely
- Account lockout and password complexity policies
- Emergency access procedures (break glass accounts)
- Logging and alerting for privileged activity
- Integrating access reviews into offboarding
- Automating attestation with tools like Okta, Azure AD, or Google Workspace
Module 8: Change Management and Configuration Control - Designing a robust change management process
- Defining change types: Standard, emergency, and major
- Creating a change advisory board (CAB) and role definitions
- Documenting change requests with impact assessments
- Pre-approval requirements and backout plans
- Change implementation windows and communication plans
- Post-implementation review and verification
- Logging changes in a central repository
- Automation vs manual changes: Control implications
- Integrating change management with version control systems
- Handling emergency changes without compromising controls
- Ensuring configuration consistency across environments
- Using Infrastructure as Code (IaC) to enforce baselines
- Versioning and rollback procedures
- Linking changes to incident and problem management
Module 9: Incident Management and Response - Building a compliant incident response lifecycle
- Defining incident severity levels and response timelines
- Establishing an incident response team (IRT) and roles
- Creating a 24/7 incident reporting channel
- Incident logging: What to capture and retain
- Containment, eradication, and recovery procedures
- Post-incident reviews and root cause analysis
- Drafting internal and external incident communication plans
- Legal and regulatory reporting obligations
- Integrating monitoring tools like SIEM and EDR
- Simulating incidents with tabletop exercises
- Training staff on incident recognition and escalation
- Metrics for tracking incident frequency and resolution
- Linking incident data to control improvements
- Preserving evidence for audit readiness
Module 10: Monitoring, Logging, and Audit Trails - Designing a central logging architecture
- What systems and events require logging (servers, cloud platforms, applications)
- Log retention periods and secure storage requirements
- Ensuring log integrity with hashing and write-once storage
- Automated monitoring alerts for critical events
- Correlating logs across systems for forensic analysis
- Access controls for log viewing and export functions
- Using log management tools like Splunk, Graylog, or AWS CloudTrail
- Regular review of logs by independent parties
- Detecting unauthorised access or configuration drift
- Documenting monitoring coverage and gaps
- Integrating logs into incident and change management
- Generating monitoring reports for auditors
- Using anomaly detection for proactive security
- Validating log completeness during self-assessment
Module 11: Vendor Risk Management and Third-Party Assurance - Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Building a compliant incident response lifecycle
- Defining incident severity levels and response timelines
- Establishing an incident response team (IRT) and roles
- Creating a 24/7 incident reporting channel
- Incident logging: What to capture and retain
- Containment, eradication, and recovery procedures
- Post-incident reviews and root cause analysis
- Drafting internal and external incident communication plans
- Legal and regulatory reporting obligations
- Integrating monitoring tools like SIEM and EDR
- Simulating incidents with tabletop exercises
- Training staff on incident recognition and escalation
- Metrics for tracking incident frequency and resolution
- Linking incident data to control improvements
- Preserving evidence for audit readiness
Module 10: Monitoring, Logging, and Audit Trails - Designing a central logging architecture
- What systems and events require logging (servers, cloud platforms, applications)
- Log retention periods and secure storage requirements
- Ensuring log integrity with hashing and write-once storage
- Automated monitoring alerts for critical events
- Correlating logs across systems for forensic analysis
- Access controls for log viewing and export functions
- Using log management tools like Splunk, Graylog, or AWS CloudTrail
- Regular review of logs by independent parties
- Detecting unauthorised access or configuration drift
- Documenting monitoring coverage and gaps
- Integrating logs into incident and change management
- Generating monitoring reports for auditors
- Using anomaly detection for proactive security
- Validating log completeness during self-assessment
Module 11: Vendor Risk Management and Third-Party Assurance - Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Identifying critical third parties and sub-processors
- Conducting vendor risk assessments using standard criteria
- Collecting and validating SOC 2 reports from vendors
- Assessing vendor controls through questionnaires (CAIQ, SIG Lite)
- Documenting due diligence for audit verification
- Managing contracts with compliance clauses
- Monitoring vendor performance and compliance status
- Handling vendor access to your systems
- Managing offshore and outsourced service providers
- Vendor offboarding and data return procedures
- Creating a vendor risk register with review schedules
- Leveraging shared assessments and Trust Exchange platforms
- Managing reliance on cloud providers (AWS, Azure, GCP)
- Subprocessor transparency and disclosure requirements
- Integrating vendor risk into executive reporting
Module 12: Business Continuity and Disaster Recovery (BC/DR) - Differentiating between BCP and DRP
- Conducting a Business Impact Analysis (BIA)
- Identifying critical systems and Recovery Time Objectives (RTO)
- Determining data Recovery Point Objectives (RPO)
- Designing failover and redundancy strategies
- Documenting recovery procedures by system and role
- Storing backups in geographically separate locations
- Testing DR plans annually with documented results
- Updating DRPs after major infrastructure changes
- Involving key personnel in recovery simulations
- Ensuring backup integrity and accessibility
- Using cloud-native backup and replication tools
- Documenting test outcomes for auditors
- Maintaining DR plan version control
- Communicating status during recovery operations
Module 13: Physical and Environmental Security - Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Securing physical access to data centres and offices
- Visitor management and sign-in procedures
- Access logs and badge monitoring
- Securing server rooms with locks and environmental controls
- Fire suppression, temperature, and humidity monitoring
- Protecting against power outages with UPS and generators
- Surveillance systems and retention policies
- Handling hardware disposal and sanitisation
- Securing laptops and mobile devices
- Encrypting portable storage media
- Shipping and receiving controls for IT equipment
- Contractor access oversight
- Remote workforce security considerations
- Using physical security assessments to validate controls
- Linking physical logs to logical access events
Module 14: Data Encryption and Protection Strategies - Classifying data by sensitivity and regulatory requirements
- Encrypting data at rest using AES-256 or equivalent
- Implementing TLS 1.2+ for data in transit
- Key management best practices: Storage, rotation, and access
- Using hardware security modules (HSMs) or cloud KMS
- Client-side encryption for sensitive customer data
- Masking and tokenisation for development environments
- Protecting backups with encryption
- Enforcing encryption in databases and file shares
- Configuring email encryption for PII
- Documenting cryptographic standards and exceptions
- Auditing encryption compliance across systems
- Using DLP tools to detect and prevent data exfiltration
- Handling data in memory and temporary files
- Aligning encryption practices with privacy commitments
Module 15: System Development Lifecycle (SDLC) and Secure Coding - Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- Integrating security into every phase of SDLC
- Threat modeling during design and architecture
- Secure coding standards and peer review requirements
- Static and dynamic application security testing (SAST/DAST)
- Penetration testing frequency and scope
- Managing open-source component risks (SCA tools)
- Code repository access and branch protection
- Container security for CI/CD pipelines
- Secure deployment and rollback procedures
- Production environment isolation from development
- Using sandboxed environments for testing
- Security champions programme within engineering
- Documenting security testing results for auditors
- Third-party code review process
- Post-release monitoring for vulnerabilities
Module 16: Continuous Monitoring and Operational Excellence - Establishing key performance indicators (KPIs) for security
- Creating dashboards for control effectiveness
- Automating compliance checks with scripts and tools
- Using CSPM for cloud security posture management
- Integrating control monitoring into daily operations
- Automating policy attestation and access reviews
- Using GRC platforms to track compliance status
- Scheduling recurring control tests and validations
- Reporting compliance health to executives quarterly
- Updating control documentation based on findings
- Integrating feedback from incidents and audits
- Proactive risk reassessment every six months
- Automating evidence collection for auditors
- Reducing manual work with compliance orchestration
- Maintaining a culture of continuous improvement
Module 17: Auditor Preparation and Evidence Compilation - What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report
Module 18: Certification Readiness and Next Steps - Final readiness checklist: 30 items to verify
- Conducting a mock audit with internal stakeholders
- Running a pre-certification gap sweep
- Refining policies and documentation for clarity
- Selecting the right audit firm and scoping the engagement
- Understanding audit pricing models and timelines
- Budgeting for Type I vs Type II audit costs
- Signing audit contracts with clear deliverables
- Maintaining compliance posture post-certification
- Marketing your SOC 2 certification to customers
- Updating sales collateral and security questionnaires
- Leveraging certification in RFP responses
- Integrating SOC 2 into your brand trust narrative
- Planning for annual renewals and recertification
- Pursuing additional frameworks (ISO 27001, CSA STAR) for growth
- Using your Certificate of Completion from The Art of Service as proof of professional development
- Adding your certification to LinkedIn and professional profiles
- Accessing alumni resources and compliance updates
- Joining a practitioner community for continued support
- Transforming compliance from cost to competitive advantage
- What auditors look for in a successful engagement
- Preparing the System Description document
- Gathering and organising evidence for each control
- Ensuring evidence is contemporaneous, complete, and signed
- Using evidence matrices with clear reference codes
- Documenting control operating effectiveness over time
- Providing walkthrough materials and process flows
- Storing evidence in a secure, searchable repository
- Preparing key personnel for auditor interviews
- Scheduling auditor access and system demonstrations
- Handling auditor requests efficiently
- Tracking and resolving auditor findings
- Responding to management letter comments
- Finalising the audit timeline and deliverables
- Obtaining the official SOC 2 report