SOC 2 A Complete Guide
You're not alone if you've ever felt overwhelmed by compliance. The pressure to prove your systems are secure, to earn client trust, and to stand out in a competitive marketplace is rising fast. Buyers demand proof. Contracts hinge on it. And without a clear roadmap, you're left guessing what matters-and what could expose your business to risk. Now imagine walking into your next audit or client review with absolute confidence. Not because you're hoping you've covered everything, but because you know. Every control, every policy, every evidence requirement mapped precisely to where it needs to be. That level of certainty doesn't come from webinars. It comes from structured mastery. From doing the work, step by step, with expert guidance that converts complexity into clarity. This is exactly what SOC 2 A Complete Guide delivers. A zero-fluff, deeply practical system to go from scattered documentation to a fully aligned, board-ready, audit-confirmed SOC 2 readiness posture-in as little as 30 days. No guesswork. No gaps. Just a repeatable, proven path to demonstrate trust at enterprise scale. Maria Tan, Security Assurance Lead at a SaaS provider with 120 employees, used this course to lead her company from zero documentation to full SOC 2 Type I readiness in 26 days. Her team delivered 97% of required evidence on the first pass, and her CEO cited the achievement in an investor update. She didn’t rely on recordings or passive learning. She followed the exact checklists, frameworks, and templates used by top audit firms. This course doesn’t just teach theory. It gives you the operational blueprint-the same one used by compliance leads at high-growth tech companies. You’ll create real deliverables, map real controls, and generate real audit evidence. All aligned with AICPA Trust Services Criteria and widely accepted by Big 4 auditors. Whether you're protecting a startup, scaling a mid-market platform, or managing compliance for a global vendor, this is your turnkey strategy to go from uncertain to audit-ready. To transform anxiety into authority. Here’s how this course is structured to help you get there.Course Format & Delivery Details Learn Anytime. Apply Immediately.
This course is self-paced and provides immediate online access upon enrollment. You choose when and where you learn, with no fixed dates or rigid schedules. Most learners complete the core framework in 28–35 hours and report measurable progress in their SOC 2 planning within the first 72 hours of starting. Lifetime Access, Future-Proof Learning
You receive lifetime access to all materials, including every template, tool, and future update-at no extra cost. As compliance standards evolve, your course content will be refreshed to reflect real-world audit expectations. This isn’t a one-time download. It’s a living system you can reference whenever new clients, vendors, or auditors ask for proof of control. Designed for Global Professionals
Access your materials 24/7 from any device, anywhere in the world. The course is fully mobile-friendly, allowing you to review frameworks during downtime, refine documentation between meetings, and complete your readiness checklist no matter your location or time zone. Direct, Expert-Led Support
You are not left alone. This course includes structured guidance from industry-experienced compliance architects. You’ll receive direct feedback pathways on key assignments, access to curated Q&A workflows, and step-by-step annotations on how top-tier firms interpret each control requirement. This is not crowd-sourced advice. It’s precision support from professionals who’ve led 100+ SOC 2 assessments. Certificate of Completion Issued by The Art of Service
Upon finishing the course, you will earn a formal Certificate of Completion issued by The Art of Service. This credential is globally recognised and respected by compliance officers, auditors, and technology executives. It signals to employers, clients, and stakeholders that you’ve mastered the operational framework of SOC 2 compliance-not just in theory, but through hands-on application. Transparent, Upfront Pricing
The course fee is straightforward with no hidden charges. No subscriptions. No surprise fees. What you see is what you get. Payment can be made securely via Visa, Mastercard, or PayPal-processed through a globally compliant system trusted by professionals in over 90 countries. Zero-Risk Enrollment: Satisfied or Refunded
We stand behind the value of this course with a complete money-back guarantee. If you complete the first three modules and do not find them immediately applicable to your compliance work, simply request a refund. No questions, no hassle. Your investment is risk-free. Post-Enrollment Process
After registration, you’ll receive a confirmation email. Your access credentials and course materials will be delivered separately, once your enrollment has been fully processed. There is no expectation of instant delivery, but you can expect full access within standard operational timelines. Does This Work For Me?
Yes. This system was designed for professionals at all levels-whether you’re a solo founder handling compliance yourself, a security analyst in a mid-sized firm, or a compliance manager in a regulated industry. You don’t need a legal or audit background. The curriculum builds confidence progressively, with built-in scaffolding for non-experts. It works even if you’ve never written a policy before, if your company has no formal documentation, or if you’re under pressure to deliver compliance results in less than 60 days. The tools and templates are pre-audited, meaning they reflect the exact language and structure that Big 4 firms accept. These aren’t academic exercises. They are field-tested instruments used by actual compliance teams. Our graduates span over 40 countries and include IT managers, SaaS founders, internal auditors, and security consultants. They’ve used this course to close contracts, win certifications, and lead internal teams with authority. This is not a passive experience. It’s a performance accelerator.
Module 1: Foundations of SOC 2 Compliance - Understanding the Purpose and Scope of SOC 2
- Differentiating Between SOC 1, SOC 2, and SOC 3 Reports
- The Role of AICPA and the Trust Services Criteria (TSC)
- Who Needs SOC 2 and Why It Matters for Business Growth
- How SOC 2 Builds Client and Investor Confidence
- Common Misconceptions and Myths About Compliance
- Overview of Type I vs Type II Reports
- Identifying Regulated Data and Systems in Your Environment
- The Business Impact of Not Being SOC 2 Compliant
- How Compliance Reduces Insurance and Liability Risks
- Mapping Business Goals to Compliance Objectives
- When to Start Your SOC 2 Journey
- Best Practices for Gaining Executive Buy-In
- Building a Business Case for SOC 2 Investment
- How to Communicate Value to Sales, Legal, and Finance Teams
- Introducing the Five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, Privacy
- Why Security is the Foundation of Every Report
- How Availability Metrics Influence Customer SLAs
- Processing Integrity and Its Role in System Reliability
- Confidentiality Controls for Proprietary Data
- Privacy Frameworks and Their Relationship to PII
Module 2: Designing Your SOC 2 Readiness Strategy - Defining Audit Scope: What Systems, People, and Processes to Include
- How to Limit Scope Without Limiting Credibility
- Creating a System Narrative That Auditors Trust
- Identifying In-Scope Systems, Subsystems, and Third Parties
- Mapping Data Flows Across Your Technology Stack
- How to Document Roles and Responsibilities
- Building a Project Plan with Milestones and Deadlines
- Estimating Internal Resource Requirements
- Selecting Between In-House vs Outsourced Compliance Efforts
- The Role of the Primary Compliance Lead and Support Teams
- How to Align SOC 2 with Existing Security Initiatives
- Integrating with ISO 27001, HIPAA, or GDPR Where Applicable
- Using a Risk-Based Approach to Prioritise Controls
- Developing a Risk Register for Compliance Planning
- Creating a Compliance Timeline Based on Business Needs
- How to Set Realistic Expectations with Stakeholders
- Identifying Key Dependencies Across IT, HR, and Legal
- Planning for Auditor Engagement and Scoping Meetings
- How to Prepare for the Auditor’s First Questions
- Checklist: 20 Must-Have Pre-Audit Deliverables
Module 3: Mastering the Trust Services Criteria (TSC) Controls - Breaking Down the Common Criteria (CC) Framework
- CC1.1: Organizational Structure and Governance
- CC1.2: Board-Level Oversight of Risk
- CC1.3: Code of Conduct and Ethics Policies
- CC1.4: Risk Assessment Process and Frequency
- CC2.1: Explicit Board Approval of Risk Objectives
- CC2.2: Risk Mitigation Strategies
- CC3.1: Design and Implementation of Controls
- CC3.2: Control Activity Selection Based on Risk
- CC3.3: Control Monitoring and Modification
- CC4.1: Communication of Roles and Responsibilities
- CC4.2: Communication of Policies Across the Organisation
- CC5.1: Monitoring Activities on a Continuous Basis
- CC5.2: Evaluating Control Deficiencies and Escalations
- CC6.1: Logical Access Security for Systems and Data
- CC6.2: User Access Reviews and Periodic Recertification
- CC6.3: Password Management and Credential Security
- CC6.4: Segregation of Duties and Role-Based Access
- CC6.5: Emergency Access Procedures and Justification
- CC6.6: Unsuccessful Access Attempts and Alerts
- CC6.7: Remote Access Controls and Security
- CC6.8: Encryption of Data at Rest and in Transit
- CC7.1: System Monitoring and Event Logging
- CC7.2: Incident Response and Reporting Protocols
- CC7.3: Malware Prevention and Endpoint Protection
- CC7.4: Patch Management and Vulnerability Scanning
- CC7.5: Change Management Procedures
- CC8.1: Detection of Unauthorised Use or Changes
- CC8.2: Investigation and Documentation of Events
- CC9.1: Business Continuity Planning
- CC9.2: Disaster Recovery and Data Restoration Procedures
- CC10.1: Vendor Risk Management and Due Diligence
- CC10.2: Contractual Security Clauses with Third Parties
- CC10.3: Monitoring Subservice Organisations
- CC10.4: Managing Cloud Service Provider Risk
Module 4: Creating Audit-Ready Policies and Documentation - The Role of Policies in Demonstrating Control
- How Auditors Evaluate Documentation Completeness
- List of 15 Required Policies for SOC 2 Compliance
- Acceptable Use Policy (AUP): Structure and Language
- Access Control Policy: Defining Least Privilege
- Change Management Policy: Version Control and Approvals
- Incident Response Policy: Escalation Paths and Roles
- Business Continuity and Disaster Recovery (BCDR) Policy
- Data Classification Policy: Handling Sensitive Information
- Remote Work Security Policy: Risk Mitigation
- Mobile Device Management (MDM) Policy Requirements
- Vendor Management Policy: Onboarding and Review
- Acceptable Encryption Standards Policy
- Password Policy: Enforcing Complexity and Rotation
- Logging and Monitoring Policy: Retention and Access
- Privacy Policy: Aligning with PII Requirements
- How to Write Policies That Are Clear and Enforceable
- Ensuring Policy Consistency Across Teams
- Linking Policies to Control Objectives
- Creating a Centralised Policy Repository
- Policy Attestation Process for Employees
- Annual Policy Review and Update Cycles
Module 5: Evidence Collection and Validation - Types of Evidence: Direct, Indirect, and Corroborating
- Best Formats for Submitting Evidence to Auditors
- Screenshots, Reports, Logs, and Screenshare vs. Static Docs
- How to Anonymise Sensitive Business Data in Evidence
- Selecting the Right Evidence for Each Control
- Building an Evidence Tracker Template with Due Dates
- Assigning Evidence Ownership Across Teams
- Time-Based vs Evergreen Evidence Requirements
- How to Prove Control Consistency Over Time (Type II)
- Sample Evidence for CC6.1: User Access Review Reports
- Sample Evidence for CC7.4: Vulnerability Scan Results
- Sample Evidence for CC10.3: Vendor Assessment Records
- How to Document Exception Handling and Justifications
- Leveraging Ticketing Systems (Jira, ServiceNow) as Evidence
- Using Git Logs as Evidence for Code Changes
- Exporting MFA Logs from Identity Providers
- Calendar Evidence for Policy Review Dates
- Email Approval Trails for System Changes
- Demonstrating Segregation of Duties Through Role Configurations
- How to Avoid Common Evidence Gaps
- Self-Testing Evidence Quality Before Auditor Review
Module 6: Conducting Internal Control Testing - Designing a Control Testing Plan
- Control Testing vs Control Operating Effectiveness
- Selecting Your In-House Control Testers
- Training Internal Teams on Testing Procedures
- Documenting Test Procedures Step-by-Step
- Sampling Methods: Random, Judgmental, and Adaptive
- Defining Success Criteria for Each Control Test
- Recording Test Results in a Standardised Format
- Handling Test Failures and Remediation Plans
- Re-Testing Controls After Fixes Are Implemented
- How to Create an Internal Test Report
- Using Control Testing to Predict Audit Outcomes
- Identifying Weak Controls Before the Auditor Arrives
- Automating Testing Where Possible
- Using Checklists to Ensure Consistency
- Aligning Test Coverage with Audit Scope
- Documenting Limitations and Scope Exceptions
- Preparing for Auditor Requests for Test Evidence
- Building a Testing Calendar for Recurring Assessments
- Escalating Findings to Management
Module 7: Working with Auditors and Managing the Audit - How to Select the Right Accounting Firm for SOC 2
- Questions to Ask Before Hiring an Auditor
- Understanding Auditor Independence and Scope
- Preparing for the Kick-Off Meeting
- Providing the Auditor with System Narrative and Scope Docs
- Responding to Auditor Requests for Information (RFIs)
- How to Handle Auditor Interviews with Staff
- Presenting Policies and Evidence in a Structured Format
- Common Auditor Findings and How to Prevent Them
- Responding to Control Deficiencies and Recommendations
- Negotiating Scope Exceptions and Exclusions
- Understanding the Difference Between Minor and Major Deficiencies
- Preparing for the Close-Out Meeting
- Reviewing and Approving the Draft Report
- What to Do If the Report Contains Qualifications
- Communicating Results to Executives and Clients
- How to Use the Final Report for Marketing and Sales
- Sharing the Report via SOC 2 Trust Portal or Direct Delivery
- Managing Confidentiality Agreements for Report Access
- How Long the Report is Valid and Next Steps
Module 8: Building a Sustainable Compliance Culture - Embedding Compliance into Daily Operations
- Creating Accountability Through RACI Matrices
- Establishing Quarterly Compliance Review Meetings
- Integrating Controls into Onboarding and Offboarding
- Automating Routine Compliance Tasks
- Using Tools Like Okta, Azure AD, and GSuite for Evidence
- Leveraging SIEM and IAM Systems for Continuous Monitoring
- Building a Compliance Dashboard for Leadership
- Training Employees on Security Awareness and Policies
- Conducting Phishing Simulations and Security Drills
- Tracking Policy Attestations Across the Organisation
- Updating Documentation with Business Changes
- Managing Mergers, Acquisitions, and Tech Stack Changes
- How to Scale Controls as the Company Grows
- Developing a Long-Term Roadmap Beyond SOC 2
- Preparing for ISO 27001, HIPAA, or GDPR Integration
- Creating a Compliance Playbook for New Initiatives
- Measuring Compliance Maturity Over Time
- Recognising and Rewarding Compliance Champions
- Ensuring Long-Term Audit Readiness
Module 9: Capstone Project – Build Your Own SOC 2 Readiness Package - Guided Project: Create a Real-World System Narrative
- Define Your Audit Scope Based on a Fictional (or Real) Scenario
- Select the Relevant Trust Services Criteria
- Map Controls to CC Framework Requirements
- Write and Format 15 Compliance Policies
- Build a Master Evidence Tracker with Deadlines
- Generate Sample Evidence for 10 Critical Controls
- Conduct Internal Testing on Key Controls
- Document Findings and Remediate Gaps
- Assemble a Readiness Package for Auditor Submission
- Include an Executive Summary for Stakeholders
- Final Review Using a Pre-Audit Checklist
- How to Present to Board or Leadership for Approval
- Template: Readiness Roadmap with Timeline
- Template: Stakeholder Communication Plan
- Template: Post-Audit Action Items
- Submit Your Project for Evaluation (Optional)
- Receive Feedback on Completeness and Professionalism
- Use Your Project as a Portfolio Piece
- How to Adapt This Project to Your Real Company
Module 10: Certification, Career Advancement & Next Steps - How to Claim Your Certificate of Completion
- The Value of Certification from The Art of Service
- Verifying Your Credential Online
- Adding the Certification to Your LinkedIn Profile
- Using the Certification in Job Applications
- Highlighting Skills on Resumes: SOC 2, Compliance, Controls
- Preparing for Interviews as a Compliance Professional
- Communicating Achievements to Managers and Peers
- Next-Level Certifications to Consider After This Course
- CISA, CISSP, CRISC Pathway Overview
- Joining Professional Compliance Networks and Forums
- Contributing to Internal Audits or External Consulting
- Becoming a Compliance Mentor or Trainer
- Using This Course to Launch a Consulting Practice
- Pricing Your Services Based on Certification Level
- Client Acquisition Strategies for Compliance Experts
- How to Speak with Authority to Executives
- Building a Portfolio of Compliance Projects
- Staying Updated on Regulatory Changes
- Lifetime Access: Revisit Modules Whenever Standards Evolve
- Understanding the Purpose and Scope of SOC 2
- Differentiating Between SOC 1, SOC 2, and SOC 3 Reports
- The Role of AICPA and the Trust Services Criteria (TSC)
- Who Needs SOC 2 and Why It Matters for Business Growth
- How SOC 2 Builds Client and Investor Confidence
- Common Misconceptions and Myths About Compliance
- Overview of Type I vs Type II Reports
- Identifying Regulated Data and Systems in Your Environment
- The Business Impact of Not Being SOC 2 Compliant
- How Compliance Reduces Insurance and Liability Risks
- Mapping Business Goals to Compliance Objectives
- When to Start Your SOC 2 Journey
- Best Practices for Gaining Executive Buy-In
- Building a Business Case for SOC 2 Investment
- How to Communicate Value to Sales, Legal, and Finance Teams
- Introducing the Five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, Privacy
- Why Security is the Foundation of Every Report
- How Availability Metrics Influence Customer SLAs
- Processing Integrity and Its Role in System Reliability
- Confidentiality Controls for Proprietary Data
- Privacy Frameworks and Their Relationship to PII
Module 2: Designing Your SOC 2 Readiness Strategy - Defining Audit Scope: What Systems, People, and Processes to Include
- How to Limit Scope Without Limiting Credibility
- Creating a System Narrative That Auditors Trust
- Identifying In-Scope Systems, Subsystems, and Third Parties
- Mapping Data Flows Across Your Technology Stack
- How to Document Roles and Responsibilities
- Building a Project Plan with Milestones and Deadlines
- Estimating Internal Resource Requirements
- Selecting Between In-House vs Outsourced Compliance Efforts
- The Role of the Primary Compliance Lead and Support Teams
- How to Align SOC 2 with Existing Security Initiatives
- Integrating with ISO 27001, HIPAA, or GDPR Where Applicable
- Using a Risk-Based Approach to Prioritise Controls
- Developing a Risk Register for Compliance Planning
- Creating a Compliance Timeline Based on Business Needs
- How to Set Realistic Expectations with Stakeholders
- Identifying Key Dependencies Across IT, HR, and Legal
- Planning for Auditor Engagement and Scoping Meetings
- How to Prepare for the Auditor’s First Questions
- Checklist: 20 Must-Have Pre-Audit Deliverables
Module 3: Mastering the Trust Services Criteria (TSC) Controls - Breaking Down the Common Criteria (CC) Framework
- CC1.1: Organizational Structure and Governance
- CC1.2: Board-Level Oversight of Risk
- CC1.3: Code of Conduct and Ethics Policies
- CC1.4: Risk Assessment Process and Frequency
- CC2.1: Explicit Board Approval of Risk Objectives
- CC2.2: Risk Mitigation Strategies
- CC3.1: Design and Implementation of Controls
- CC3.2: Control Activity Selection Based on Risk
- CC3.3: Control Monitoring and Modification
- CC4.1: Communication of Roles and Responsibilities
- CC4.2: Communication of Policies Across the Organisation
- CC5.1: Monitoring Activities on a Continuous Basis
- CC5.2: Evaluating Control Deficiencies and Escalations
- CC6.1: Logical Access Security for Systems and Data
- CC6.2: User Access Reviews and Periodic Recertification
- CC6.3: Password Management and Credential Security
- CC6.4: Segregation of Duties and Role-Based Access
- CC6.5: Emergency Access Procedures and Justification
- CC6.6: Unsuccessful Access Attempts and Alerts
- CC6.7: Remote Access Controls and Security
- CC6.8: Encryption of Data at Rest and in Transit
- CC7.1: System Monitoring and Event Logging
- CC7.2: Incident Response and Reporting Protocols
- CC7.3: Malware Prevention and Endpoint Protection
- CC7.4: Patch Management and Vulnerability Scanning
- CC7.5: Change Management Procedures
- CC8.1: Detection of Unauthorised Use or Changes
- CC8.2: Investigation and Documentation of Events
- CC9.1: Business Continuity Planning
- CC9.2: Disaster Recovery and Data Restoration Procedures
- CC10.1: Vendor Risk Management and Due Diligence
- CC10.2: Contractual Security Clauses with Third Parties
- CC10.3: Monitoring Subservice Organisations
- CC10.4: Managing Cloud Service Provider Risk
Module 4: Creating Audit-Ready Policies and Documentation - The Role of Policies in Demonstrating Control
- How Auditors Evaluate Documentation Completeness
- List of 15 Required Policies for SOC 2 Compliance
- Acceptable Use Policy (AUP): Structure and Language
- Access Control Policy: Defining Least Privilege
- Change Management Policy: Version Control and Approvals
- Incident Response Policy: Escalation Paths and Roles
- Business Continuity and Disaster Recovery (BCDR) Policy
- Data Classification Policy: Handling Sensitive Information
- Remote Work Security Policy: Risk Mitigation
- Mobile Device Management (MDM) Policy Requirements
- Vendor Management Policy: Onboarding and Review
- Acceptable Encryption Standards Policy
- Password Policy: Enforcing Complexity and Rotation
- Logging and Monitoring Policy: Retention and Access
- Privacy Policy: Aligning with PII Requirements
- How to Write Policies That Are Clear and Enforceable
- Ensuring Policy Consistency Across Teams
- Linking Policies to Control Objectives
- Creating a Centralised Policy Repository
- Policy Attestation Process for Employees
- Annual Policy Review and Update Cycles
Module 5: Evidence Collection and Validation - Types of Evidence: Direct, Indirect, and Corroborating
- Best Formats for Submitting Evidence to Auditors
- Screenshots, Reports, Logs, and Screenshare vs. Static Docs
- How to Anonymise Sensitive Business Data in Evidence
- Selecting the Right Evidence for Each Control
- Building an Evidence Tracker Template with Due Dates
- Assigning Evidence Ownership Across Teams
- Time-Based vs Evergreen Evidence Requirements
- How to Prove Control Consistency Over Time (Type II)
- Sample Evidence for CC6.1: User Access Review Reports
- Sample Evidence for CC7.4: Vulnerability Scan Results
- Sample Evidence for CC10.3: Vendor Assessment Records
- How to Document Exception Handling and Justifications
- Leveraging Ticketing Systems (Jira, ServiceNow) as Evidence
- Using Git Logs as Evidence for Code Changes
- Exporting MFA Logs from Identity Providers
- Calendar Evidence for Policy Review Dates
- Email Approval Trails for System Changes
- Demonstrating Segregation of Duties Through Role Configurations
- How to Avoid Common Evidence Gaps
- Self-Testing Evidence Quality Before Auditor Review
Module 6: Conducting Internal Control Testing - Designing a Control Testing Plan
- Control Testing vs Control Operating Effectiveness
- Selecting Your In-House Control Testers
- Training Internal Teams on Testing Procedures
- Documenting Test Procedures Step-by-Step
- Sampling Methods: Random, Judgmental, and Adaptive
- Defining Success Criteria for Each Control Test
- Recording Test Results in a Standardised Format
- Handling Test Failures and Remediation Plans
- Re-Testing Controls After Fixes Are Implemented
- How to Create an Internal Test Report
- Using Control Testing to Predict Audit Outcomes
- Identifying Weak Controls Before the Auditor Arrives
- Automating Testing Where Possible
- Using Checklists to Ensure Consistency
- Aligning Test Coverage with Audit Scope
- Documenting Limitations and Scope Exceptions
- Preparing for Auditor Requests for Test Evidence
- Building a Testing Calendar for Recurring Assessments
- Escalating Findings to Management
Module 7: Working with Auditors and Managing the Audit - How to Select the Right Accounting Firm for SOC 2
- Questions to Ask Before Hiring an Auditor
- Understanding Auditor Independence and Scope
- Preparing for the Kick-Off Meeting
- Providing the Auditor with System Narrative and Scope Docs
- Responding to Auditor Requests for Information (RFIs)
- How to Handle Auditor Interviews with Staff
- Presenting Policies and Evidence in a Structured Format
- Common Auditor Findings and How to Prevent Them
- Responding to Control Deficiencies and Recommendations
- Negotiating Scope Exceptions and Exclusions
- Understanding the Difference Between Minor and Major Deficiencies
- Preparing for the Close-Out Meeting
- Reviewing and Approving the Draft Report
- What to Do If the Report Contains Qualifications
- Communicating Results to Executives and Clients
- How to Use the Final Report for Marketing and Sales
- Sharing the Report via SOC 2 Trust Portal or Direct Delivery
- Managing Confidentiality Agreements for Report Access
- How Long the Report is Valid and Next Steps
Module 8: Building a Sustainable Compliance Culture - Embedding Compliance into Daily Operations
- Creating Accountability Through RACI Matrices
- Establishing Quarterly Compliance Review Meetings
- Integrating Controls into Onboarding and Offboarding
- Automating Routine Compliance Tasks
- Using Tools Like Okta, Azure AD, and GSuite for Evidence
- Leveraging SIEM and IAM Systems for Continuous Monitoring
- Building a Compliance Dashboard for Leadership
- Training Employees on Security Awareness and Policies
- Conducting Phishing Simulations and Security Drills
- Tracking Policy Attestations Across the Organisation
- Updating Documentation with Business Changes
- Managing Mergers, Acquisitions, and Tech Stack Changes
- How to Scale Controls as the Company Grows
- Developing a Long-Term Roadmap Beyond SOC 2
- Preparing for ISO 27001, HIPAA, or GDPR Integration
- Creating a Compliance Playbook for New Initiatives
- Measuring Compliance Maturity Over Time
- Recognising and Rewarding Compliance Champions
- Ensuring Long-Term Audit Readiness
Module 9: Capstone Project – Build Your Own SOC 2 Readiness Package - Guided Project: Create a Real-World System Narrative
- Define Your Audit Scope Based on a Fictional (or Real) Scenario
- Select the Relevant Trust Services Criteria
- Map Controls to CC Framework Requirements
- Write and Format 15 Compliance Policies
- Build a Master Evidence Tracker with Deadlines
- Generate Sample Evidence for 10 Critical Controls
- Conduct Internal Testing on Key Controls
- Document Findings and Remediate Gaps
- Assemble a Readiness Package for Auditor Submission
- Include an Executive Summary for Stakeholders
- Final Review Using a Pre-Audit Checklist
- How to Present to Board or Leadership for Approval
- Template: Readiness Roadmap with Timeline
- Template: Stakeholder Communication Plan
- Template: Post-Audit Action Items
- Submit Your Project for Evaluation (Optional)
- Receive Feedback on Completeness and Professionalism
- Use Your Project as a Portfolio Piece
- How to Adapt This Project to Your Real Company
Module 10: Certification, Career Advancement & Next Steps - How to Claim Your Certificate of Completion
- The Value of Certification from The Art of Service
- Verifying Your Credential Online
- Adding the Certification to Your LinkedIn Profile
- Using the Certification in Job Applications
- Highlighting Skills on Resumes: SOC 2, Compliance, Controls
- Preparing for Interviews as a Compliance Professional
- Communicating Achievements to Managers and Peers
- Next-Level Certifications to Consider After This Course
- CISA, CISSP, CRISC Pathway Overview
- Joining Professional Compliance Networks and Forums
- Contributing to Internal Audits or External Consulting
- Becoming a Compliance Mentor or Trainer
- Using This Course to Launch a Consulting Practice
- Pricing Your Services Based on Certification Level
- Client Acquisition Strategies for Compliance Experts
- How to Speak with Authority to Executives
- Building a Portfolio of Compliance Projects
- Staying Updated on Regulatory Changes
- Lifetime Access: Revisit Modules Whenever Standards Evolve
- Breaking Down the Common Criteria (CC) Framework
- CC1.1: Organizational Structure and Governance
- CC1.2: Board-Level Oversight of Risk
- CC1.3: Code of Conduct and Ethics Policies
- CC1.4: Risk Assessment Process and Frequency
- CC2.1: Explicit Board Approval of Risk Objectives
- CC2.2: Risk Mitigation Strategies
- CC3.1: Design and Implementation of Controls
- CC3.2: Control Activity Selection Based on Risk
- CC3.3: Control Monitoring and Modification
- CC4.1: Communication of Roles and Responsibilities
- CC4.2: Communication of Policies Across the Organisation
- CC5.1: Monitoring Activities on a Continuous Basis
- CC5.2: Evaluating Control Deficiencies and Escalations
- CC6.1: Logical Access Security for Systems and Data
- CC6.2: User Access Reviews and Periodic Recertification
- CC6.3: Password Management and Credential Security
- CC6.4: Segregation of Duties and Role-Based Access
- CC6.5: Emergency Access Procedures and Justification
- CC6.6: Unsuccessful Access Attempts and Alerts
- CC6.7: Remote Access Controls and Security
- CC6.8: Encryption of Data at Rest and in Transit
- CC7.1: System Monitoring and Event Logging
- CC7.2: Incident Response and Reporting Protocols
- CC7.3: Malware Prevention and Endpoint Protection
- CC7.4: Patch Management and Vulnerability Scanning
- CC7.5: Change Management Procedures
- CC8.1: Detection of Unauthorised Use or Changes
- CC8.2: Investigation and Documentation of Events
- CC9.1: Business Continuity Planning
- CC9.2: Disaster Recovery and Data Restoration Procedures
- CC10.1: Vendor Risk Management and Due Diligence
- CC10.2: Contractual Security Clauses with Third Parties
- CC10.3: Monitoring Subservice Organisations
- CC10.4: Managing Cloud Service Provider Risk
Module 4: Creating Audit-Ready Policies and Documentation - The Role of Policies in Demonstrating Control
- How Auditors Evaluate Documentation Completeness
- List of 15 Required Policies for SOC 2 Compliance
- Acceptable Use Policy (AUP): Structure and Language
- Access Control Policy: Defining Least Privilege
- Change Management Policy: Version Control and Approvals
- Incident Response Policy: Escalation Paths and Roles
- Business Continuity and Disaster Recovery (BCDR) Policy
- Data Classification Policy: Handling Sensitive Information
- Remote Work Security Policy: Risk Mitigation
- Mobile Device Management (MDM) Policy Requirements
- Vendor Management Policy: Onboarding and Review
- Acceptable Encryption Standards Policy
- Password Policy: Enforcing Complexity and Rotation
- Logging and Monitoring Policy: Retention and Access
- Privacy Policy: Aligning with PII Requirements
- How to Write Policies That Are Clear and Enforceable
- Ensuring Policy Consistency Across Teams
- Linking Policies to Control Objectives
- Creating a Centralised Policy Repository
- Policy Attestation Process for Employees
- Annual Policy Review and Update Cycles
Module 5: Evidence Collection and Validation - Types of Evidence: Direct, Indirect, and Corroborating
- Best Formats for Submitting Evidence to Auditors
- Screenshots, Reports, Logs, and Screenshare vs. Static Docs
- How to Anonymise Sensitive Business Data in Evidence
- Selecting the Right Evidence for Each Control
- Building an Evidence Tracker Template with Due Dates
- Assigning Evidence Ownership Across Teams
- Time-Based vs Evergreen Evidence Requirements
- How to Prove Control Consistency Over Time (Type II)
- Sample Evidence for CC6.1: User Access Review Reports
- Sample Evidence for CC7.4: Vulnerability Scan Results
- Sample Evidence for CC10.3: Vendor Assessment Records
- How to Document Exception Handling and Justifications
- Leveraging Ticketing Systems (Jira, ServiceNow) as Evidence
- Using Git Logs as Evidence for Code Changes
- Exporting MFA Logs from Identity Providers
- Calendar Evidence for Policy Review Dates
- Email Approval Trails for System Changes
- Demonstrating Segregation of Duties Through Role Configurations
- How to Avoid Common Evidence Gaps
- Self-Testing Evidence Quality Before Auditor Review
Module 6: Conducting Internal Control Testing - Designing a Control Testing Plan
- Control Testing vs Control Operating Effectiveness
- Selecting Your In-House Control Testers
- Training Internal Teams on Testing Procedures
- Documenting Test Procedures Step-by-Step
- Sampling Methods: Random, Judgmental, and Adaptive
- Defining Success Criteria for Each Control Test
- Recording Test Results in a Standardised Format
- Handling Test Failures and Remediation Plans
- Re-Testing Controls After Fixes Are Implemented
- How to Create an Internal Test Report
- Using Control Testing to Predict Audit Outcomes
- Identifying Weak Controls Before the Auditor Arrives
- Automating Testing Where Possible
- Using Checklists to Ensure Consistency
- Aligning Test Coverage with Audit Scope
- Documenting Limitations and Scope Exceptions
- Preparing for Auditor Requests for Test Evidence
- Building a Testing Calendar for Recurring Assessments
- Escalating Findings to Management
Module 7: Working with Auditors and Managing the Audit - How to Select the Right Accounting Firm for SOC 2
- Questions to Ask Before Hiring an Auditor
- Understanding Auditor Independence and Scope
- Preparing for the Kick-Off Meeting
- Providing the Auditor with System Narrative and Scope Docs
- Responding to Auditor Requests for Information (RFIs)
- How to Handle Auditor Interviews with Staff
- Presenting Policies and Evidence in a Structured Format
- Common Auditor Findings and How to Prevent Them
- Responding to Control Deficiencies and Recommendations
- Negotiating Scope Exceptions and Exclusions
- Understanding the Difference Between Minor and Major Deficiencies
- Preparing for the Close-Out Meeting
- Reviewing and Approving the Draft Report
- What to Do If the Report Contains Qualifications
- Communicating Results to Executives and Clients
- How to Use the Final Report for Marketing and Sales
- Sharing the Report via SOC 2 Trust Portal or Direct Delivery
- Managing Confidentiality Agreements for Report Access
- How Long the Report is Valid and Next Steps
Module 8: Building a Sustainable Compliance Culture - Embedding Compliance into Daily Operations
- Creating Accountability Through RACI Matrices
- Establishing Quarterly Compliance Review Meetings
- Integrating Controls into Onboarding and Offboarding
- Automating Routine Compliance Tasks
- Using Tools Like Okta, Azure AD, and GSuite for Evidence
- Leveraging SIEM and IAM Systems for Continuous Monitoring
- Building a Compliance Dashboard for Leadership
- Training Employees on Security Awareness and Policies
- Conducting Phishing Simulations and Security Drills
- Tracking Policy Attestations Across the Organisation
- Updating Documentation with Business Changes
- Managing Mergers, Acquisitions, and Tech Stack Changes
- How to Scale Controls as the Company Grows
- Developing a Long-Term Roadmap Beyond SOC 2
- Preparing for ISO 27001, HIPAA, or GDPR Integration
- Creating a Compliance Playbook for New Initiatives
- Measuring Compliance Maturity Over Time
- Recognising and Rewarding Compliance Champions
- Ensuring Long-Term Audit Readiness
Module 9: Capstone Project – Build Your Own SOC 2 Readiness Package - Guided Project: Create a Real-World System Narrative
- Define Your Audit Scope Based on a Fictional (or Real) Scenario
- Select the Relevant Trust Services Criteria
- Map Controls to CC Framework Requirements
- Write and Format 15 Compliance Policies
- Build a Master Evidence Tracker with Deadlines
- Generate Sample Evidence for 10 Critical Controls
- Conduct Internal Testing on Key Controls
- Document Findings and Remediate Gaps
- Assemble a Readiness Package for Auditor Submission
- Include an Executive Summary for Stakeholders
- Final Review Using a Pre-Audit Checklist
- How to Present to Board or Leadership for Approval
- Template: Readiness Roadmap with Timeline
- Template: Stakeholder Communication Plan
- Template: Post-Audit Action Items
- Submit Your Project for Evaluation (Optional)
- Receive Feedback on Completeness and Professionalism
- Use Your Project as a Portfolio Piece
- How to Adapt This Project to Your Real Company
Module 10: Certification, Career Advancement & Next Steps - How to Claim Your Certificate of Completion
- The Value of Certification from The Art of Service
- Verifying Your Credential Online
- Adding the Certification to Your LinkedIn Profile
- Using the Certification in Job Applications
- Highlighting Skills on Resumes: SOC 2, Compliance, Controls
- Preparing for Interviews as a Compliance Professional
- Communicating Achievements to Managers and Peers
- Next-Level Certifications to Consider After This Course
- CISA, CISSP, CRISC Pathway Overview
- Joining Professional Compliance Networks and Forums
- Contributing to Internal Audits or External Consulting
- Becoming a Compliance Mentor or Trainer
- Using This Course to Launch a Consulting Practice
- Pricing Your Services Based on Certification Level
- Client Acquisition Strategies for Compliance Experts
- How to Speak with Authority to Executives
- Building a Portfolio of Compliance Projects
- Staying Updated on Regulatory Changes
- Lifetime Access: Revisit Modules Whenever Standards Evolve
- Types of Evidence: Direct, Indirect, and Corroborating
- Best Formats for Submitting Evidence to Auditors
- Screenshots, Reports, Logs, and Screenshare vs. Static Docs
- How to Anonymise Sensitive Business Data in Evidence
- Selecting the Right Evidence for Each Control
- Building an Evidence Tracker Template with Due Dates
- Assigning Evidence Ownership Across Teams
- Time-Based vs Evergreen Evidence Requirements
- How to Prove Control Consistency Over Time (Type II)
- Sample Evidence for CC6.1: User Access Review Reports
- Sample Evidence for CC7.4: Vulnerability Scan Results
- Sample Evidence for CC10.3: Vendor Assessment Records
- How to Document Exception Handling and Justifications
- Leveraging Ticketing Systems (Jira, ServiceNow) as Evidence
- Using Git Logs as Evidence for Code Changes
- Exporting MFA Logs from Identity Providers
- Calendar Evidence for Policy Review Dates
- Email Approval Trails for System Changes
- Demonstrating Segregation of Duties Through Role Configurations
- How to Avoid Common Evidence Gaps
- Self-Testing Evidence Quality Before Auditor Review
Module 6: Conducting Internal Control Testing - Designing a Control Testing Plan
- Control Testing vs Control Operating Effectiveness
- Selecting Your In-House Control Testers
- Training Internal Teams on Testing Procedures
- Documenting Test Procedures Step-by-Step
- Sampling Methods: Random, Judgmental, and Adaptive
- Defining Success Criteria for Each Control Test
- Recording Test Results in a Standardised Format
- Handling Test Failures and Remediation Plans
- Re-Testing Controls After Fixes Are Implemented
- How to Create an Internal Test Report
- Using Control Testing to Predict Audit Outcomes
- Identifying Weak Controls Before the Auditor Arrives
- Automating Testing Where Possible
- Using Checklists to Ensure Consistency
- Aligning Test Coverage with Audit Scope
- Documenting Limitations and Scope Exceptions
- Preparing for Auditor Requests for Test Evidence
- Building a Testing Calendar for Recurring Assessments
- Escalating Findings to Management
Module 7: Working with Auditors and Managing the Audit - How to Select the Right Accounting Firm for SOC 2
- Questions to Ask Before Hiring an Auditor
- Understanding Auditor Independence and Scope
- Preparing for the Kick-Off Meeting
- Providing the Auditor with System Narrative and Scope Docs
- Responding to Auditor Requests for Information (RFIs)
- How to Handle Auditor Interviews with Staff
- Presenting Policies and Evidence in a Structured Format
- Common Auditor Findings and How to Prevent Them
- Responding to Control Deficiencies and Recommendations
- Negotiating Scope Exceptions and Exclusions
- Understanding the Difference Between Minor and Major Deficiencies
- Preparing for the Close-Out Meeting
- Reviewing and Approving the Draft Report
- What to Do If the Report Contains Qualifications
- Communicating Results to Executives and Clients
- How to Use the Final Report for Marketing and Sales
- Sharing the Report via SOC 2 Trust Portal or Direct Delivery
- Managing Confidentiality Agreements for Report Access
- How Long the Report is Valid and Next Steps
Module 8: Building a Sustainable Compliance Culture - Embedding Compliance into Daily Operations
- Creating Accountability Through RACI Matrices
- Establishing Quarterly Compliance Review Meetings
- Integrating Controls into Onboarding and Offboarding
- Automating Routine Compliance Tasks
- Using Tools Like Okta, Azure AD, and GSuite for Evidence
- Leveraging SIEM and IAM Systems for Continuous Monitoring
- Building a Compliance Dashboard for Leadership
- Training Employees on Security Awareness and Policies
- Conducting Phishing Simulations and Security Drills
- Tracking Policy Attestations Across the Organisation
- Updating Documentation with Business Changes
- Managing Mergers, Acquisitions, and Tech Stack Changes
- How to Scale Controls as the Company Grows
- Developing a Long-Term Roadmap Beyond SOC 2
- Preparing for ISO 27001, HIPAA, or GDPR Integration
- Creating a Compliance Playbook for New Initiatives
- Measuring Compliance Maturity Over Time
- Recognising and Rewarding Compliance Champions
- Ensuring Long-Term Audit Readiness
Module 9: Capstone Project – Build Your Own SOC 2 Readiness Package - Guided Project: Create a Real-World System Narrative
- Define Your Audit Scope Based on a Fictional (or Real) Scenario
- Select the Relevant Trust Services Criteria
- Map Controls to CC Framework Requirements
- Write and Format 15 Compliance Policies
- Build a Master Evidence Tracker with Deadlines
- Generate Sample Evidence for 10 Critical Controls
- Conduct Internal Testing on Key Controls
- Document Findings and Remediate Gaps
- Assemble a Readiness Package for Auditor Submission
- Include an Executive Summary for Stakeholders
- Final Review Using a Pre-Audit Checklist
- How to Present to Board or Leadership for Approval
- Template: Readiness Roadmap with Timeline
- Template: Stakeholder Communication Plan
- Template: Post-Audit Action Items
- Submit Your Project for Evaluation (Optional)
- Receive Feedback on Completeness and Professionalism
- Use Your Project as a Portfolio Piece
- How to Adapt This Project to Your Real Company
Module 10: Certification, Career Advancement & Next Steps - How to Claim Your Certificate of Completion
- The Value of Certification from The Art of Service
- Verifying Your Credential Online
- Adding the Certification to Your LinkedIn Profile
- Using the Certification in Job Applications
- Highlighting Skills on Resumes: SOC 2, Compliance, Controls
- Preparing for Interviews as a Compliance Professional
- Communicating Achievements to Managers and Peers
- Next-Level Certifications to Consider After This Course
- CISA, CISSP, CRISC Pathway Overview
- Joining Professional Compliance Networks and Forums
- Contributing to Internal Audits or External Consulting
- Becoming a Compliance Mentor or Trainer
- Using This Course to Launch a Consulting Practice
- Pricing Your Services Based on Certification Level
- Client Acquisition Strategies for Compliance Experts
- How to Speak with Authority to Executives
- Building a Portfolio of Compliance Projects
- Staying Updated on Regulatory Changes
- Lifetime Access: Revisit Modules Whenever Standards Evolve
- How to Select the Right Accounting Firm for SOC 2
- Questions to Ask Before Hiring an Auditor
- Understanding Auditor Independence and Scope
- Preparing for the Kick-Off Meeting
- Providing the Auditor with System Narrative and Scope Docs
- Responding to Auditor Requests for Information (RFIs)
- How to Handle Auditor Interviews with Staff
- Presenting Policies and Evidence in a Structured Format
- Common Auditor Findings and How to Prevent Them
- Responding to Control Deficiencies and Recommendations
- Negotiating Scope Exceptions and Exclusions
- Understanding the Difference Between Minor and Major Deficiencies
- Preparing for the Close-Out Meeting
- Reviewing and Approving the Draft Report
- What to Do If the Report Contains Qualifications
- Communicating Results to Executives and Clients
- How to Use the Final Report for Marketing and Sales
- Sharing the Report via SOC 2 Trust Portal or Direct Delivery
- Managing Confidentiality Agreements for Report Access
- How Long the Report is Valid and Next Steps
Module 8: Building a Sustainable Compliance Culture - Embedding Compliance into Daily Operations
- Creating Accountability Through RACI Matrices
- Establishing Quarterly Compliance Review Meetings
- Integrating Controls into Onboarding and Offboarding
- Automating Routine Compliance Tasks
- Using Tools Like Okta, Azure AD, and GSuite for Evidence
- Leveraging SIEM and IAM Systems for Continuous Monitoring
- Building a Compliance Dashboard for Leadership
- Training Employees on Security Awareness and Policies
- Conducting Phishing Simulations and Security Drills
- Tracking Policy Attestations Across the Organisation
- Updating Documentation with Business Changes
- Managing Mergers, Acquisitions, and Tech Stack Changes
- How to Scale Controls as the Company Grows
- Developing a Long-Term Roadmap Beyond SOC 2
- Preparing for ISO 27001, HIPAA, or GDPR Integration
- Creating a Compliance Playbook for New Initiatives
- Measuring Compliance Maturity Over Time
- Recognising and Rewarding Compliance Champions
- Ensuring Long-Term Audit Readiness
Module 9: Capstone Project – Build Your Own SOC 2 Readiness Package - Guided Project: Create a Real-World System Narrative
- Define Your Audit Scope Based on a Fictional (or Real) Scenario
- Select the Relevant Trust Services Criteria
- Map Controls to CC Framework Requirements
- Write and Format 15 Compliance Policies
- Build a Master Evidence Tracker with Deadlines
- Generate Sample Evidence for 10 Critical Controls
- Conduct Internal Testing on Key Controls
- Document Findings and Remediate Gaps
- Assemble a Readiness Package for Auditor Submission
- Include an Executive Summary for Stakeholders
- Final Review Using a Pre-Audit Checklist
- How to Present to Board or Leadership for Approval
- Template: Readiness Roadmap with Timeline
- Template: Stakeholder Communication Plan
- Template: Post-Audit Action Items
- Submit Your Project for Evaluation (Optional)
- Receive Feedback on Completeness and Professionalism
- Use Your Project as a Portfolio Piece
- How to Adapt This Project to Your Real Company
Module 10: Certification, Career Advancement & Next Steps - How to Claim Your Certificate of Completion
- The Value of Certification from The Art of Service
- Verifying Your Credential Online
- Adding the Certification to Your LinkedIn Profile
- Using the Certification in Job Applications
- Highlighting Skills on Resumes: SOC 2, Compliance, Controls
- Preparing for Interviews as a Compliance Professional
- Communicating Achievements to Managers and Peers
- Next-Level Certifications to Consider After This Course
- CISA, CISSP, CRISC Pathway Overview
- Joining Professional Compliance Networks and Forums
- Contributing to Internal Audits or External Consulting
- Becoming a Compliance Mentor or Trainer
- Using This Course to Launch a Consulting Practice
- Pricing Your Services Based on Certification Level
- Client Acquisition Strategies for Compliance Experts
- How to Speak with Authority to Executives
- Building a Portfolio of Compliance Projects
- Staying Updated on Regulatory Changes
- Lifetime Access: Revisit Modules Whenever Standards Evolve
- Guided Project: Create a Real-World System Narrative
- Define Your Audit Scope Based on a Fictional (or Real) Scenario
- Select the Relevant Trust Services Criteria
- Map Controls to CC Framework Requirements
- Write and Format 15 Compliance Policies
- Build a Master Evidence Tracker with Deadlines
- Generate Sample Evidence for 10 Critical Controls
- Conduct Internal Testing on Key Controls
- Document Findings and Remediate Gaps
- Assemble a Readiness Package for Auditor Submission
- Include an Executive Summary for Stakeholders
- Final Review Using a Pre-Audit Checklist
- How to Present to Board or Leadership for Approval
- Template: Readiness Roadmap with Timeline
- Template: Stakeholder Communication Plan
- Template: Post-Audit Action Items
- Submit Your Project for Evaluation (Optional)
- Receive Feedback on Completeness and Professionalism
- Use Your Project as a Portfolio Piece
- How to Adapt This Project to Your Real Company