Mastering SOC 2 Type 2 Compliance: A Complete Guide to Audit-Ready Security Frameworks
You’re under pressure. Your clients are asking for proof of compliance. Investors want assurance that your data practices are ironclad. Your sales team is losing deals because you can’t answer “Are you SOC 2 compliant?” with confidence. The clock is ticking and every day without a clear path forward costs you credibility, revenue, and growth. You’ve read the AICPA documentation. You’ve scanned compliance checklists. But nothing connects the dots-how to turn policy into practice, how to build frameworks auditors accept, and how to do it without hiring a six-figure compliance team. You need a system, not scattered advice. You need the exact blueprint used by high-growth SaaS companies that passed their SOC 2 Type 2 audits on the first attempt. Mastering SOC 2 Type 2 Compliance: A Complete Guide to Audit-Ready Security Frameworks is not another theoretical overview. This is your step-by-step playbook to build, implement, and document a control environment that stands up under audit scrutiny. Within 30 days, you will go from confusion to clarity, with a fully mapped framework, policy templates, control evidence workflows, and a clear audit readiness roadmap. One of our learners, Maria, a Director of Security at a mid-sized fintech firm, used this course to lead her company’s first SOC 2 Type 2 audit. She said: “We had zero dedicated compliance staff, just me and an overloaded IT team. After completing the modules, I built the entire policy stack and evidence collection process from scratch. Our auditor approved us on the first review-with no findings.” This isn’t about checking boxes. It’s about building trust, enabling enterprise sales, and future-proofing your business against risk. You’ll gain the structured approach, executive-level documentation, and operational workflows that make compliance sustainable-not a one-time project. Here’s how this course is structured to help you get there.Course Format & Delivery Details: Built for Clarity, Confidence, and Career Impact Self-Paced Learning with Immediate Online Access
This course is self-paced, allowing you to progress according to your schedule. Once enrolled, you gain instant access to all course materials online, with no deadlines, mandatory live sessions, or fixed timelines. You decide when and where you learn-whether it’s during a quiet weekend or between meetings. On-Demand, 24/7 Global Access
Access your learning materials anytime, from any location in the world. The platform is fully responsive, ensuring a seamless experience whether you’re working from your desktop, laptop, or mobile device. This isn’t a time-bound program-it’s your permanent reference system for SOC 2 strategy and implementation. Lifetime Access with Ongoing Updates at No Extra Cost
Enroll once, and you’re covered for life. The course includes automatic, ongoing updates as regulatory expectations evolve and new best practices emerge. You’ll never pay for a renewal, certification refresher, or content upgrade. This is a one-time investment in lasting expertise. Typical Completion Time: 4–6 Weeks (Results in Days)
Most learners complete the full course within 4 to 6 weeks while working part-time. However, you’ll gain actionable insights from Day 1. Within the first three modules, you’ll have drafted core policies, mapped your controls, and begun structuring your evidence collection-critical steps that immediately reduce audit risk. Instructor Support and Guidance
You’re not alone. Throughout the course, you’ll receive direct guidance through curated support channels. Our subject-matter experts, who have led or advised on over 150 SOC 2 audits, provide clear, practical answers to your technical and strategic questions. This ensures your implementation aligns with auditor expectations and industry benchmarks. Certificate of Completion Issued by The Art of Service
Upon finishing the course, you’ll earn a Certificate of Completion issued by The Art of Service-a globally recognised credential trusted by enterprises, auditors, and compliance officers. This certificate validates your expertise in design, implementation, and maintenance of audit-ready SOC 2 frameworks-adding measurable value to your resume, LinkedIn profile, or consulting practice. Transparent Pricing: No Hidden Fees
The total cost is clearly stated at checkout. What you see is what you pay-no surprise charges, no subscription traps, no upsells. The price includes full access to all written content, templates, frameworks, tools, and the certificate upon completion. Secure Payment Options
We accept all major payment methods including Visa, Mastercard, and PayPal. All transactions are encrypted and processed through a PCI-compliant gateway to ensure your financial security. 100% Money-Back Guarantee: Zero Risk Enrollment
If you complete the first three modules and find the course doesn’t meet your expectations, simply email us for a full refund. No questions, no hurdles. We stand behind the value, clarity, and real-world utility of this program-so you can enroll with absolute confidence. What to Expect After Enrollment
After registration, you’ll receive a confirmation email. Your access details and login instructions will be sent separately once your course materials are fully prepared. This ensures you begin with a clean, organised learning experience, free of clutter or delays. This Works Even If…
You’ve never passed a compliance audit before. You work in a lean startup with no dedicated compliance team. You’re not a security engineer. You’re overwhelmed by jargon and frameworks. You’ve started a SOC 2 project that stalled. You’re advising a client and need a reliable, audit-accepted methodology. This course works because it’s built for real-world complexity-not idealised environments. Over 1,850 professionals-from compliance analysts to CISOs-have used this program to pass their SOC 2 Type 2 audits. One CTO of a B2B SaaS company completed the course in five weeks while managing product launches and said: his gave me the exact structure I needed. I had my security policies, control documentation, and auditor roadmap ready before my next board meeting. Another IT manager at a healthcare tech firm used the templates to close a key enterprise contract that required immediate compliance proof. The biggest risk isn’t the cost of this course-it’s the cost of delay. Every week without audit-ready compliance means lost revenue, elevated risk, and missed opportunities. This course eliminates the guesswork, turns compliance into a competitive advantage, and positions you as the leader who gets it done.
Extensive and Detailed Course Curriculum
Module 1: Foundations of SOC 2 Type 2 Compliance - Understanding the purpose and evolution of SOC 2
- Key differences between SOC 2 Type 1 and Type 2
- The role of AICPA in defining SOC standards
- When your organisation needs SOC 2 compliance
- Common misconceptions about SOC 2 audits
- How SOC 2 enhances customer trust and accelerates sales cycles
- Overview of the five Trust Services Criteria (Security, Availability, Processing Integrity, Confidentiality, Privacy)
- Determining which criteria apply to your business
- Aligning SOC 2 with organisational goals and growth strategy
- Defining the scope of your SOC 2 audit
- Identifying in-scope systems, processes, and locations
- Understanding the auditor’s expectations and review process
- How to assess your current compliance maturity
- Building a business case for SOC 2 to executive leadership
- Creating a project charter and securing stakeholder buy-in
Module 2: Deep Dive into the Trust Services Criteria - Security Principle CC6.1: Logical and Physical Access Controls
- CC6.2: User Access Management and Provisioning
- CC6.3: Authentication Mechanisms and MFA Enforcement
- CC6.4: Monitoring User Activity and Unauthorised Access
- CC6.5: Segregation of Duties in Key Systems
- Availability Principle: System Performance Monitoring and Alerts
- Defining uptime expectations and SLAs for availability
- Incident response and disaster recovery definitions
- Processing Integrity: Ensuring Accuracy and Timeliness of Data
- CC3.1: Data Input Validation and Error Handling
- CC3.2: Process Monitoring and Exception Reporting
- Confidentiality: Protecting Sensitive Information
- Identifying confidential data across systems
- Encryption policies for data at rest and in transit
- Privacy Principle: Handling Personal Data in Compliance with Agreements
Module 3: Control Design and Implementation Strategy - Principles of effective control design
- Differentiating preventive, detective, and corrective controls
- Mapping controls to specific Trust Services Criteria
- Control ownership and accountability frameworks
- How to document controls clearly for auditors
- Using control matrices for traceability
- Integrating controls into daily operations
- Avoiding over-control and unnecessary complexity
- Control calibration for organisation size and risk profile
- Defining control operating effectiveness
- Designing controls that are testable and repeatable
- Documenting control activities in policy and procedure manuals
- Frequency of control operation (daily, monthly, quarterly)
- Creating a central control repository
- Using automation to maintain consistency
Module 4: Building Audit-Ready Policies and Documentation - Why policies are the foundation of SOC 2 compliance
- Required policies for SOC 2 Type 2 (master list)
- Information Security Policy: Structure and content
- Acceptable Use Policy: Defining user responsibilities
- Remote Access Policy: Securing off-site connections
- Password Policy: Complexity, rotation, and storage standards
- Data Classification Policy: Labelling and handling rules
- Confidentiality Agreement Policy for employees and vendors
- Incident Response Policy: Containment, reporting, recovery
- Business Continuity and Disaster Recovery Plan
- Change Management Policy: Approvals and documentation
- Vulnerability Management Policy: Scanning and remediation
- Anti-Malware Policy: Detection and prevention standards
- Logging and Monitoring Policy: Retention and review
- Cloud Security Policy: Third-party infrastructure controls
- Policy review and update cycles
- How to obtain executive sign-off on policies
- Version control and audit trail for policy changes
- Storing policies in a central, auditable location
Module 5: Identity and Access Management (IAM) Controls - User onboarding and offboarding checklists
- Role-Based Access Control (RBAC) implementation
- Defining least privilege access across systems
- Regular access reviews and recertification
- Automating user provisioning with SSO and identity providers
- Multi-factor authentication (MFA) enforcement strategies
- Privileged account management (PAM) best practices
- Monitoring for dormant or orphaned accounts
- Passwordless authentication and future trends
- Integrating IAM with HR systems
- Client access and third-party vendor access controls
- Logging all access changes and approvals
- Mapping IAM controls to CC6.x requirements
- Generating automated access reports for auditors
- Designing self-service access request workflows
Module 6: Security Monitoring and Incident Response - Building a Security Information and Event Management (SIEM) strategy
- Selecting critical systems for log collection
- Log retention periods aligned with compliance standards
- Automated alerting for suspicious activity
- Defining incident severity levels
- Incident response team roles and responsibilities
- Creating an incident response playbook
- Communication protocols during a breach
- Forensic data collection and preservation
- Post-incident review and root cause analysis
- Maintaining an incident register for auditor review
- Linking monitoring to control effectiveness
- Integrating threat intelligence feeds
- Conducting tabletop exercises and simulations
- Documenting incident handling for evidence
Module 7: Vulnerability Management and Penetration Testing - Scheduled vulnerability scanning cadence
- Selecting and configuring automated scanning tools
- Interpreting scan results and risk prioritisation
- Remediation workflows and SLAs for patching
- Distinguishing critical, high, medium, and low vulnerabilities
- Using CVSS scores to guide remediation
- Penetration testing: Frequency and scope
- Selecting qualified third-party penetration testers
- Reviewing penetration test reports for evidence
- Documenting corrective actions taken
- Integrating findings into risk register
- Demonstrating continuous improvement to auditors
- Scanning cloud environments and containerised workloads
- Automating vulnerability reporting
- Linking remediation to control effectiveness
Module 8: Change and Configuration Management - Establishing a formal change approval process
- Creating change advisory boards (CAB)
- Documenting change requests and approvals
- Differentiating emergency vs. standard changes
- Back-out plans for failed changes
- Testing changes in staging environments
- Configuration baselines for critical systems
- Using version control for configuration files
- Automating configuration drift detection
- Change documentation required for SOC 2
- Integrating with DevOps and CI/CD pipelines
- Logging all system changes and deployments
- Linking changes to risk assessments
- Ensuring separation between development and production
- Change management templates and workflows
Module 9: Third-Party Risk and Vendor Management - Creating a vendor inventory and risk categorisation
- Defining third-party risk assessment criteria
- Conducting vendor due diligence questionnaires
- Reviewing vendor SOC 2 or ISO 27001 reports
- Managing sub-service organisations (SSOs)
- Drafting security clauses in vendor contracts
- Monitoring vendor compliance throughout the relationship
- Conducting periodic vendor reviews
- Managing off-boarding and data deletion
- Documenting vendor risk decisions for auditors
- Using GRC platforms for vendor tracking
- Handling cloud providers, SaaS vendors, and MSPs
- Compliance dependencies and shadow IT risks
- Vendor incident response coordination
- Third-party control mapping templates
Module 10: Data Protection and Encryption - Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
Module 1: Foundations of SOC 2 Type 2 Compliance - Understanding the purpose and evolution of SOC 2
- Key differences between SOC 2 Type 1 and Type 2
- The role of AICPA in defining SOC standards
- When your organisation needs SOC 2 compliance
- Common misconceptions about SOC 2 audits
- How SOC 2 enhances customer trust and accelerates sales cycles
- Overview of the five Trust Services Criteria (Security, Availability, Processing Integrity, Confidentiality, Privacy)
- Determining which criteria apply to your business
- Aligning SOC 2 with organisational goals and growth strategy
- Defining the scope of your SOC 2 audit
- Identifying in-scope systems, processes, and locations
- Understanding the auditor’s expectations and review process
- How to assess your current compliance maturity
- Building a business case for SOC 2 to executive leadership
- Creating a project charter and securing stakeholder buy-in
Module 2: Deep Dive into the Trust Services Criteria - Security Principle CC6.1: Logical and Physical Access Controls
- CC6.2: User Access Management and Provisioning
- CC6.3: Authentication Mechanisms and MFA Enforcement
- CC6.4: Monitoring User Activity and Unauthorised Access
- CC6.5: Segregation of Duties in Key Systems
- Availability Principle: System Performance Monitoring and Alerts
- Defining uptime expectations and SLAs for availability
- Incident response and disaster recovery definitions
- Processing Integrity: Ensuring Accuracy and Timeliness of Data
- CC3.1: Data Input Validation and Error Handling
- CC3.2: Process Monitoring and Exception Reporting
- Confidentiality: Protecting Sensitive Information
- Identifying confidential data across systems
- Encryption policies for data at rest and in transit
- Privacy Principle: Handling Personal Data in Compliance with Agreements
Module 3: Control Design and Implementation Strategy - Principles of effective control design
- Differentiating preventive, detective, and corrective controls
- Mapping controls to specific Trust Services Criteria
- Control ownership and accountability frameworks
- How to document controls clearly for auditors
- Using control matrices for traceability
- Integrating controls into daily operations
- Avoiding over-control and unnecessary complexity
- Control calibration for organisation size and risk profile
- Defining control operating effectiveness
- Designing controls that are testable and repeatable
- Documenting control activities in policy and procedure manuals
- Frequency of control operation (daily, monthly, quarterly)
- Creating a central control repository
- Using automation to maintain consistency
Module 4: Building Audit-Ready Policies and Documentation - Why policies are the foundation of SOC 2 compliance
- Required policies for SOC 2 Type 2 (master list)
- Information Security Policy: Structure and content
- Acceptable Use Policy: Defining user responsibilities
- Remote Access Policy: Securing off-site connections
- Password Policy: Complexity, rotation, and storage standards
- Data Classification Policy: Labelling and handling rules
- Confidentiality Agreement Policy for employees and vendors
- Incident Response Policy: Containment, reporting, recovery
- Business Continuity and Disaster Recovery Plan
- Change Management Policy: Approvals and documentation
- Vulnerability Management Policy: Scanning and remediation
- Anti-Malware Policy: Detection and prevention standards
- Logging and Monitoring Policy: Retention and review
- Cloud Security Policy: Third-party infrastructure controls
- Policy review and update cycles
- How to obtain executive sign-off on policies
- Version control and audit trail for policy changes
- Storing policies in a central, auditable location
Module 5: Identity and Access Management (IAM) Controls - User onboarding and offboarding checklists
- Role-Based Access Control (RBAC) implementation
- Defining least privilege access across systems
- Regular access reviews and recertification
- Automating user provisioning with SSO and identity providers
- Multi-factor authentication (MFA) enforcement strategies
- Privileged account management (PAM) best practices
- Monitoring for dormant or orphaned accounts
- Passwordless authentication and future trends
- Integrating IAM with HR systems
- Client access and third-party vendor access controls
- Logging all access changes and approvals
- Mapping IAM controls to CC6.x requirements
- Generating automated access reports for auditors
- Designing self-service access request workflows
Module 6: Security Monitoring and Incident Response - Building a Security Information and Event Management (SIEM) strategy
- Selecting critical systems for log collection
- Log retention periods aligned with compliance standards
- Automated alerting for suspicious activity
- Defining incident severity levels
- Incident response team roles and responsibilities
- Creating an incident response playbook
- Communication protocols during a breach
- Forensic data collection and preservation
- Post-incident review and root cause analysis
- Maintaining an incident register for auditor review
- Linking monitoring to control effectiveness
- Integrating threat intelligence feeds
- Conducting tabletop exercises and simulations
- Documenting incident handling for evidence
Module 7: Vulnerability Management and Penetration Testing - Scheduled vulnerability scanning cadence
- Selecting and configuring automated scanning tools
- Interpreting scan results and risk prioritisation
- Remediation workflows and SLAs for patching
- Distinguishing critical, high, medium, and low vulnerabilities
- Using CVSS scores to guide remediation
- Penetration testing: Frequency and scope
- Selecting qualified third-party penetration testers
- Reviewing penetration test reports for evidence
- Documenting corrective actions taken
- Integrating findings into risk register
- Demonstrating continuous improvement to auditors
- Scanning cloud environments and containerised workloads
- Automating vulnerability reporting
- Linking remediation to control effectiveness
Module 8: Change and Configuration Management - Establishing a formal change approval process
- Creating change advisory boards (CAB)
- Documenting change requests and approvals
- Differentiating emergency vs. standard changes
- Back-out plans for failed changes
- Testing changes in staging environments
- Configuration baselines for critical systems
- Using version control for configuration files
- Automating configuration drift detection
- Change documentation required for SOC 2
- Integrating with DevOps and CI/CD pipelines
- Logging all system changes and deployments
- Linking changes to risk assessments
- Ensuring separation between development and production
- Change management templates and workflows
Module 9: Third-Party Risk and Vendor Management - Creating a vendor inventory and risk categorisation
- Defining third-party risk assessment criteria
- Conducting vendor due diligence questionnaires
- Reviewing vendor SOC 2 or ISO 27001 reports
- Managing sub-service organisations (SSOs)
- Drafting security clauses in vendor contracts
- Monitoring vendor compliance throughout the relationship
- Conducting periodic vendor reviews
- Managing off-boarding and data deletion
- Documenting vendor risk decisions for auditors
- Using GRC platforms for vendor tracking
- Handling cloud providers, SaaS vendors, and MSPs
- Compliance dependencies and shadow IT risks
- Vendor incident response coordination
- Third-party control mapping templates
Module 10: Data Protection and Encryption - Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Security Principle CC6.1: Logical and Physical Access Controls
- CC6.2: User Access Management and Provisioning
- CC6.3: Authentication Mechanisms and MFA Enforcement
- CC6.4: Monitoring User Activity and Unauthorised Access
- CC6.5: Segregation of Duties in Key Systems
- Availability Principle: System Performance Monitoring and Alerts
- Defining uptime expectations and SLAs for availability
- Incident response and disaster recovery definitions
- Processing Integrity: Ensuring Accuracy and Timeliness of Data
- CC3.1: Data Input Validation and Error Handling
- CC3.2: Process Monitoring and Exception Reporting
- Confidentiality: Protecting Sensitive Information
- Identifying confidential data across systems
- Encryption policies for data at rest and in transit
- Privacy Principle: Handling Personal Data in Compliance with Agreements
Module 3: Control Design and Implementation Strategy - Principles of effective control design
- Differentiating preventive, detective, and corrective controls
- Mapping controls to specific Trust Services Criteria
- Control ownership and accountability frameworks
- How to document controls clearly for auditors
- Using control matrices for traceability
- Integrating controls into daily operations
- Avoiding over-control and unnecessary complexity
- Control calibration for organisation size and risk profile
- Defining control operating effectiveness
- Designing controls that are testable and repeatable
- Documenting control activities in policy and procedure manuals
- Frequency of control operation (daily, monthly, quarterly)
- Creating a central control repository
- Using automation to maintain consistency
Module 4: Building Audit-Ready Policies and Documentation - Why policies are the foundation of SOC 2 compliance
- Required policies for SOC 2 Type 2 (master list)
- Information Security Policy: Structure and content
- Acceptable Use Policy: Defining user responsibilities
- Remote Access Policy: Securing off-site connections
- Password Policy: Complexity, rotation, and storage standards
- Data Classification Policy: Labelling and handling rules
- Confidentiality Agreement Policy for employees and vendors
- Incident Response Policy: Containment, reporting, recovery
- Business Continuity and Disaster Recovery Plan
- Change Management Policy: Approvals and documentation
- Vulnerability Management Policy: Scanning and remediation
- Anti-Malware Policy: Detection and prevention standards
- Logging and Monitoring Policy: Retention and review
- Cloud Security Policy: Third-party infrastructure controls
- Policy review and update cycles
- How to obtain executive sign-off on policies
- Version control and audit trail for policy changes
- Storing policies in a central, auditable location
Module 5: Identity and Access Management (IAM) Controls - User onboarding and offboarding checklists
- Role-Based Access Control (RBAC) implementation
- Defining least privilege access across systems
- Regular access reviews and recertification
- Automating user provisioning with SSO and identity providers
- Multi-factor authentication (MFA) enforcement strategies
- Privileged account management (PAM) best practices
- Monitoring for dormant or orphaned accounts
- Passwordless authentication and future trends
- Integrating IAM with HR systems
- Client access and third-party vendor access controls
- Logging all access changes and approvals
- Mapping IAM controls to CC6.x requirements
- Generating automated access reports for auditors
- Designing self-service access request workflows
Module 6: Security Monitoring and Incident Response - Building a Security Information and Event Management (SIEM) strategy
- Selecting critical systems for log collection
- Log retention periods aligned with compliance standards
- Automated alerting for suspicious activity
- Defining incident severity levels
- Incident response team roles and responsibilities
- Creating an incident response playbook
- Communication protocols during a breach
- Forensic data collection and preservation
- Post-incident review and root cause analysis
- Maintaining an incident register for auditor review
- Linking monitoring to control effectiveness
- Integrating threat intelligence feeds
- Conducting tabletop exercises and simulations
- Documenting incident handling for evidence
Module 7: Vulnerability Management and Penetration Testing - Scheduled vulnerability scanning cadence
- Selecting and configuring automated scanning tools
- Interpreting scan results and risk prioritisation
- Remediation workflows and SLAs for patching
- Distinguishing critical, high, medium, and low vulnerabilities
- Using CVSS scores to guide remediation
- Penetration testing: Frequency and scope
- Selecting qualified third-party penetration testers
- Reviewing penetration test reports for evidence
- Documenting corrective actions taken
- Integrating findings into risk register
- Demonstrating continuous improvement to auditors
- Scanning cloud environments and containerised workloads
- Automating vulnerability reporting
- Linking remediation to control effectiveness
Module 8: Change and Configuration Management - Establishing a formal change approval process
- Creating change advisory boards (CAB)
- Documenting change requests and approvals
- Differentiating emergency vs. standard changes
- Back-out plans for failed changes
- Testing changes in staging environments
- Configuration baselines for critical systems
- Using version control for configuration files
- Automating configuration drift detection
- Change documentation required for SOC 2
- Integrating with DevOps and CI/CD pipelines
- Logging all system changes and deployments
- Linking changes to risk assessments
- Ensuring separation between development and production
- Change management templates and workflows
Module 9: Third-Party Risk and Vendor Management - Creating a vendor inventory and risk categorisation
- Defining third-party risk assessment criteria
- Conducting vendor due diligence questionnaires
- Reviewing vendor SOC 2 or ISO 27001 reports
- Managing sub-service organisations (SSOs)
- Drafting security clauses in vendor contracts
- Monitoring vendor compliance throughout the relationship
- Conducting periodic vendor reviews
- Managing off-boarding and data deletion
- Documenting vendor risk decisions for auditors
- Using GRC platforms for vendor tracking
- Handling cloud providers, SaaS vendors, and MSPs
- Compliance dependencies and shadow IT risks
- Vendor incident response coordination
- Third-party control mapping templates
Module 10: Data Protection and Encryption - Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Why policies are the foundation of SOC 2 compliance
- Required policies for SOC 2 Type 2 (master list)
- Information Security Policy: Structure and content
- Acceptable Use Policy: Defining user responsibilities
- Remote Access Policy: Securing off-site connections
- Password Policy: Complexity, rotation, and storage standards
- Data Classification Policy: Labelling and handling rules
- Confidentiality Agreement Policy for employees and vendors
- Incident Response Policy: Containment, reporting, recovery
- Business Continuity and Disaster Recovery Plan
- Change Management Policy: Approvals and documentation
- Vulnerability Management Policy: Scanning and remediation
- Anti-Malware Policy: Detection and prevention standards
- Logging and Monitoring Policy: Retention and review
- Cloud Security Policy: Third-party infrastructure controls
- Policy review and update cycles
- How to obtain executive sign-off on policies
- Version control and audit trail for policy changes
- Storing policies in a central, auditable location
Module 5: Identity and Access Management (IAM) Controls - User onboarding and offboarding checklists
- Role-Based Access Control (RBAC) implementation
- Defining least privilege access across systems
- Regular access reviews and recertification
- Automating user provisioning with SSO and identity providers
- Multi-factor authentication (MFA) enforcement strategies
- Privileged account management (PAM) best practices
- Monitoring for dormant or orphaned accounts
- Passwordless authentication and future trends
- Integrating IAM with HR systems
- Client access and third-party vendor access controls
- Logging all access changes and approvals
- Mapping IAM controls to CC6.x requirements
- Generating automated access reports for auditors
- Designing self-service access request workflows
Module 6: Security Monitoring and Incident Response - Building a Security Information and Event Management (SIEM) strategy
- Selecting critical systems for log collection
- Log retention periods aligned with compliance standards
- Automated alerting for suspicious activity
- Defining incident severity levels
- Incident response team roles and responsibilities
- Creating an incident response playbook
- Communication protocols during a breach
- Forensic data collection and preservation
- Post-incident review and root cause analysis
- Maintaining an incident register for auditor review
- Linking monitoring to control effectiveness
- Integrating threat intelligence feeds
- Conducting tabletop exercises and simulations
- Documenting incident handling for evidence
Module 7: Vulnerability Management and Penetration Testing - Scheduled vulnerability scanning cadence
- Selecting and configuring automated scanning tools
- Interpreting scan results and risk prioritisation
- Remediation workflows and SLAs for patching
- Distinguishing critical, high, medium, and low vulnerabilities
- Using CVSS scores to guide remediation
- Penetration testing: Frequency and scope
- Selecting qualified third-party penetration testers
- Reviewing penetration test reports for evidence
- Documenting corrective actions taken
- Integrating findings into risk register
- Demonstrating continuous improvement to auditors
- Scanning cloud environments and containerised workloads
- Automating vulnerability reporting
- Linking remediation to control effectiveness
Module 8: Change and Configuration Management - Establishing a formal change approval process
- Creating change advisory boards (CAB)
- Documenting change requests and approvals
- Differentiating emergency vs. standard changes
- Back-out plans for failed changes
- Testing changes in staging environments
- Configuration baselines for critical systems
- Using version control for configuration files
- Automating configuration drift detection
- Change documentation required for SOC 2
- Integrating with DevOps and CI/CD pipelines
- Logging all system changes and deployments
- Linking changes to risk assessments
- Ensuring separation between development and production
- Change management templates and workflows
Module 9: Third-Party Risk and Vendor Management - Creating a vendor inventory and risk categorisation
- Defining third-party risk assessment criteria
- Conducting vendor due diligence questionnaires
- Reviewing vendor SOC 2 or ISO 27001 reports
- Managing sub-service organisations (SSOs)
- Drafting security clauses in vendor contracts
- Monitoring vendor compliance throughout the relationship
- Conducting periodic vendor reviews
- Managing off-boarding and data deletion
- Documenting vendor risk decisions for auditors
- Using GRC platforms for vendor tracking
- Handling cloud providers, SaaS vendors, and MSPs
- Compliance dependencies and shadow IT risks
- Vendor incident response coordination
- Third-party control mapping templates
Module 10: Data Protection and Encryption - Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Building a Security Information and Event Management (SIEM) strategy
- Selecting critical systems for log collection
- Log retention periods aligned with compliance standards
- Automated alerting for suspicious activity
- Defining incident severity levels
- Incident response team roles and responsibilities
- Creating an incident response playbook
- Communication protocols during a breach
- Forensic data collection and preservation
- Post-incident review and root cause analysis
- Maintaining an incident register for auditor review
- Linking monitoring to control effectiveness
- Integrating threat intelligence feeds
- Conducting tabletop exercises and simulations
- Documenting incident handling for evidence
Module 7: Vulnerability Management and Penetration Testing - Scheduled vulnerability scanning cadence
- Selecting and configuring automated scanning tools
- Interpreting scan results and risk prioritisation
- Remediation workflows and SLAs for patching
- Distinguishing critical, high, medium, and low vulnerabilities
- Using CVSS scores to guide remediation
- Penetration testing: Frequency and scope
- Selecting qualified third-party penetration testers
- Reviewing penetration test reports for evidence
- Documenting corrective actions taken
- Integrating findings into risk register
- Demonstrating continuous improvement to auditors
- Scanning cloud environments and containerised workloads
- Automating vulnerability reporting
- Linking remediation to control effectiveness
Module 8: Change and Configuration Management - Establishing a formal change approval process
- Creating change advisory boards (CAB)
- Documenting change requests and approvals
- Differentiating emergency vs. standard changes
- Back-out plans for failed changes
- Testing changes in staging environments
- Configuration baselines for critical systems
- Using version control for configuration files
- Automating configuration drift detection
- Change documentation required for SOC 2
- Integrating with DevOps and CI/CD pipelines
- Logging all system changes and deployments
- Linking changes to risk assessments
- Ensuring separation between development and production
- Change management templates and workflows
Module 9: Third-Party Risk and Vendor Management - Creating a vendor inventory and risk categorisation
- Defining third-party risk assessment criteria
- Conducting vendor due diligence questionnaires
- Reviewing vendor SOC 2 or ISO 27001 reports
- Managing sub-service organisations (SSOs)
- Drafting security clauses in vendor contracts
- Monitoring vendor compliance throughout the relationship
- Conducting periodic vendor reviews
- Managing off-boarding and data deletion
- Documenting vendor risk decisions for auditors
- Using GRC platforms for vendor tracking
- Handling cloud providers, SaaS vendors, and MSPs
- Compliance dependencies and shadow IT risks
- Vendor incident response coordination
- Third-party control mapping templates
Module 10: Data Protection and Encryption - Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Establishing a formal change approval process
- Creating change advisory boards (CAB)
- Documenting change requests and approvals
- Differentiating emergency vs. standard changes
- Back-out plans for failed changes
- Testing changes in staging environments
- Configuration baselines for critical systems
- Using version control for configuration files
- Automating configuration drift detection
- Change documentation required for SOC 2
- Integrating with DevOps and CI/CD pipelines
- Logging all system changes and deployments
- Linking changes to risk assessments
- Ensuring separation between development and production
- Change management templates and workflows
Module 9: Third-Party Risk and Vendor Management - Creating a vendor inventory and risk categorisation
- Defining third-party risk assessment criteria
- Conducting vendor due diligence questionnaires
- Reviewing vendor SOC 2 or ISO 27001 reports
- Managing sub-service organisations (SSOs)
- Drafting security clauses in vendor contracts
- Monitoring vendor compliance throughout the relationship
- Conducting periodic vendor reviews
- Managing off-boarding and data deletion
- Documenting vendor risk decisions for auditors
- Using GRC platforms for vendor tracking
- Handling cloud providers, SaaS vendors, and MSPs
- Compliance dependencies and shadow IT risks
- Vendor incident response coordination
- Third-party control mapping templates
Module 10: Data Protection and Encryption - Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Data discovery and classification techniques
- Identifying Personally Identifiable Information (PII)
- Encrypting data at rest using AES-256 standards
- Enforcing TLS 1.2+ for data in transit
- Key management best practices (HSM, KMS)
- Tokenisation and data masking for reduced exposure
- Secure data disposal and deletion processes
- Storage location mapping (on-premise, cloud, third-party)
- Data residency and jurisdictional compliance
- Export controls and cross-border data transfers
- Protecting backups and snapshots
- Monitoring for unauthorised data access
- Data leak prevention (DLP) system integration
- End-user device encryption (laptops, mobiles)
- Temporary file and cache management
Module 11: Physical and Environmental Security - Securing data centres and server rooms
- Access control systems (badges, biometrics)
- Visitor logging and escort requirements
- CCTV surveillance and monitoring policies
- Environmental controls (fire suppression, cooling)
- Power redundancy and UPS systems
- Disaster recovery site requirements
- Physical security for remote workers
- Company asset tagging and tracking
- Secure disposal of hardware and storage media
- Site tours and auditor access protocols
- Third-party hosting provider oversight
- Physical security policy documentation
- Testing physical controls during audits
- Cloud provider physical security reliance
Module 12: Risk Assessment and Risk Management Framework - Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Conducting an annual risk assessment
- Identifying internal and external threats
- Asset-based risk identification
- Calculating risk likelihood and impact
- Using a risk matrix to prioritise issues
- Determining risk appetite and tolerance
- Selecting risk responses: Avoid, Reduce, Transfer, Accept
- Maintaining a central risk register
- Linking risks to specific controls
- Reporting risks to executive leadership
- Integrating risk assessment with audit planning
- Documenting risk decisions for auditors
- Risk assessment templates and workflows
- Third-party risk inclusion
- Updating assessments after major incidents
Module 13: Business Continuity and Disaster Recovery - Conducting a business impact analysis (BIA)
- Defining RTO and RPO for critical systems
- Creating a disaster recovery plan (DRP)
- Developing a business continuity plan (BCP)
- Backup strategies: Full, incremental, differential
- Testing backup restoration processes
- Offsite backup storage and cloud mirroring
- Failover and redundancy architectures
- Drafting communication plans during outages
- Tabletop and simulation testing schedules
- Documenting test results for auditors
- Cloud provider disaster recovery commitments
- Supply chain continuity risks
- Regulatory reporting during incidents
- Integration with incident response
Module 14: Compliance Workflow Automation and Tooling - Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Selecting GRC platforms for compliance management
- Using audit management software for evidence collection
- Automating control testing and monitoring
- Integrating with ITSM, SIEM, and IAM systems
- API-based evidence aggregation from cloud services
- Using checklists and workflows to reduce manual effort
- Progress tracking and milestone reporting
- Dashboarding for executive visibility
- Version control for compliance artifacts
- Collaboration features for cross-functional teams
- E-signature workflows for policy approvals
- Task reminders and deadlines for control execution
- Centralised document repository structure
- Searchable access for auditors
- ROI of automation in reducing audit preparation time
Module 15: Preparing for the SOC 2 Audit Engagement - Selecting a qualified SOC 2 auditor firm
- Understanding auditor independence requirements
- Defining the audit scope and timeline
- Preparing the Readiness Assessment Report
- Scheduling pre-audit walkthroughs
- Organising evidence into audit binders
- Creating auditor access accounts
- Preparing key stakeholders for interviews
- Responding to auditor inquiries promptly
- Managing the request list efficiently
- Addressing preliminary findings
- Performing internal mock audits
- Rehearsing executive presentations
- Finalising system descriptions and disclosures
- Signing engagement letters and NDAs
Module 16: Audit Execution, Reporting, and Post-Audit Actions - Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Understanding the auditor’s testing procedures
- Providing sample evidence for control operation
- Handling auditor questions and follow-ups
- Reviewing the draft SOC 2 report
- Responding to findings and exceptions
- Negotiating the final report language
- Receiving the unqualified opinion
- Publishing the SOC 2 report appropriately
- Sharing reports with clients and prospects
- Storing reports securely
- Handling qualified opinions or findings
- Creating a remediation plan for deficiencies
- Scheduling a re-audit if needed
- Communicating audit results to stakeholders
- Updating marketing and sales materials post-audit
Module 17: Maintaining Compliance Beyond the Audit - Establishing continuous compliance monitoring
- Scheduling recurring control tests
- Updating documentation for system changes
- Conducting quarterly compliance check-ins
- Refreshing policies and risk assessments annually
- Onboarding new employees into compliance processes
- Training staff on updated controls and policies
- Tracking control deviations and corrective actions
- Preparing for the next Type 2 audit cycle
- Scaling compliance with organisational growth
- Integrating compliance into M&A activities
- Managing compliance for new products or markets
- Using compliance as a sales enablement tool
- Building a culture of security and accountability
- Evolving with new regulatory expectations
Module 18: Career Advancement and Professional Certification - Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction
- Positioning SOC 2 expertise on your resume
- Adding your Certificate of Completion to LinkedIn
- Using your knowledge in job interviews and salary negotiations
- Becoming the go-to compliance resource in your organisation
- Transitioning from IT or security roles to compliance leadership
- Offering SOC 2 advisory services as a consultant
- Building a personal brand in governance and risk management
- Presenting at conferences or webinars
- Writing articles or case studies on implementation
- Aligning with certifications like CISA, CISSP, CRISC
- Leveraging The Art of Service credential for credibility
- Networking with compliance professionals
- Creating internal training programs
- Establishing yourself as a trusted advisor
- Documenting your impact on revenue and risk reduction