Description

This curriculum spans the design and operational integration of concurrent SOC 2 Type 2 and ISO 27001 security programs, comparable in depth to a multi-phase compliance alignment project led by a cross-functional team within a mid-sized technology organisation.

Module 1: Defining the Governance Framework Alignment Between SOC 2 and ISO 27001

Select whether to map SOC 2 controls directly to ISO 27001:2022 Annex A controls or maintain separate control inventories with cross-references.
Decide on the scope boundary for both frameworks, determining whether cloud infrastructure, third-party SaaS tools, and development environments are included.
Establish a unified risk assessment methodology that satisfies ISO 27001 Clause 6.1.2 and supports SOC 2 Common Criteria (CC) requirements.
Assign ownership of control objectives to specific roles (e.g., CISO for A.5.7, IT Manager for CC6.1).
Determine how frequently control effectiveness reviews occur to meet both annual ISO internal audit requirements and SOC 2 point-in-time vs. period-of-time expectations.
Document justification for excluding specific controls (e.g., A.8.10 for legacy systems) with compensating controls acceptable to auditors.
Integrate the Statement of Applicability (SoA) with the SOC 2 control matrix to reduce duplication and ensure alignment.
Define escalation paths for control failures detected during monitoring that impact both compliance postures.

Module 2: Risk Assessment and Treatment Integration

Conduct a joint risk assessment using ISO 27005 methodology while ensuring identified risks map to SOC 2 Common Criteria (e.g., CC3.2 for risk mitigation).
Select risk acceptance criteria that satisfy both internal ISMS policies and external SOC 2 auditor expectations for residual risk thresholds.
Implement risk treatment plans with documented timelines, owners, and verification steps for controls like encryption (A.8.24) and access reviews (A.7.3.1).
Use risk register data to justify control implementation priorities during budget planning cycles.
Ensure risk treatment actions for third-party vendors align with both ISO 27001 A.15 and SOC 2 CC3.3 requirements.
Define thresholds for when risk reassessments are triggered (e.g., after a security incident or major system change).
Integrate threat intelligence feeds into risk assessments to support dynamic risk scoring for critical assets.
Maintain evidence of risk assessment reviews during management meetings to satisfy ISO 7.4 and SOC 2 CC1.4 communication requirements.

Module 3: Access Control Strategy and Identity Governance

Implement role-based access control (RBAC) structures that satisfy ISO A.7.2.2 and SOC 2 CC6.1 for least privilege enforcement.
Define automated provisioning and deprovisioning workflows for joiner-mover-leaver processes across cloud and on-premise systems.
Select MFA enforcement policies for administrative and privileged accounts in line with ISO A.9.4.3 and SOC 2 CC6.8.
Establish review cycles for user access rights (e.g., quarterly for privileged roles, annually for standard users) with documented remediation logs.
Configure privileged access management (PAM) tools to enforce just-in-time access and session monitoring for critical systems.
Define password complexity and rotation policies that meet both internal standards and external auditor expectations, considering modern guidance on password expiration.
Map identity providers (IdPs) to application access logs to demonstrate centralized authentication for audit trails.
Implement segregation of duties (SoD) rules in ERP and financial systems to prevent conflicts in access permissions.

Module 4: Security Operations and Monitoring Integration

Deploy SIEM solutions to aggregate logs from systems in scope, ensuring retention periods meet ISO A.8.15 and SOC 2 CC7.1 requirements.
Define correlation rules for detecting anomalous behavior (e.g., multiple failed logins, off-hours access) with escalation procedures.
Configure automated alerts for critical security events (e.g., firewall rule changes, admin account creation) with response SLAs.
Integrate vulnerability scanning results into the risk register and track remediation progress against SLAs.
Establish a centralized incident response plan that satisfies ISO A.16.1 and SOC 2 CC7.5, including defined roles and communication templates.
Conduct tabletop exercises quarterly to validate incident response procedures and update playbooks based on findings.
Implement file integrity monitoring (FIM) on critical servers to detect unauthorized configuration changes.
Document log review procedures performed by operations teams to demonstrate ongoing monitoring compliance.

Module 5: Change and Configuration Management Controls

Implement a formal change management process requiring approval, risk assessment, and backout plans for all production changes.
Map change control activities to ISO A.12.1.2 and SOC 2 CC6.7, ensuring audit trails capture who approved and executed changes.
Define configuration baselines for servers, network devices, and cloud services using tools like Ansible or Terraform.
Conduct regular configuration drift audits and remediate deviations from approved standards.
Restrict direct access to production environments; require all changes to go through CI/CD pipelines with peer review.
Enforce separation between development, testing, and production environments to prevent unauthorized data flows.
Document emergency change procedures with post-implementation review requirements to prevent abuse.
Integrate configuration management database (CMDB) data into asset inventory for ISO A.8.1 and SOC 2 CC3.1.

Module 6: Third-Party and Vendor Risk Management

Classify vendors based on data sensitivity and system criticality to determine assessment depth (e.g., full audit vs. questionnaire).
Require SOC 2 Type 2 or ISO 27001 certification from critical vendors and validate scope alignment with your environment.
Include specific security and audit rights clauses in vendor contracts to support evidence collection during audits.
Conduct annual vendor reviews using standardized assessment templates aligned with ISO A.15 and SOC 2 CC3.3.
Map vendor-provided controls to your SoA and control matrix, clearly identifying responsibilities (shared vs. vendor-managed).
Establish a process for monitoring vendor security incidents and assessing downstream impact on your control environment.
Maintain a centralized vendor register with risk ratings, assessment dates, and remediation status.
Validate sub-processor disclosures from vendors and assess whether additional controls are needed for downstream risks.

Module 7: Data Protection and Encryption Strategy

Classify data based on sensitivity (e.g., public, internal, confidential) to determine encryption requirements at rest and in transit.
Implement TLS 1.2+ for all external web interfaces and enforce cipher suite standards across load balancers and APIs.
Configure encryption for databases containing PII or authentication credentials using TDE or application-level encryption.
Manage encryption keys using a centralized key management system (KMS) with access controls and audit logging.
Define data retention and secure disposal procedures for physical and digital media in line with ISO A.8.12 and SOC 2 CC6.6.
Implement DLP tools to detect and block unauthorized transmission of sensitive data via email or cloud storage.
Validate that backups are encrypted and stored in geographically separate locations with access controls.
Document data flow diagrams showing where encryption is applied across systems and networks.

Module 8: Audit Readiness and Evidence Management

Develop a control evidence calendar specifying collection frequency (e.g., monthly, quarterly) and responsible parties.
Standardize evidence formats (e.g., PDF logs, screenshots, system exports) to ensure consistency for both ISO and SOC 2 auditors.
Implement a secure document repository with version control and access restrictions for audit artifacts.
Conduct pre-audit readiness assessments to identify control gaps and incomplete evidence trails.
Map each SOC 2 Common Criteria to specific ISO 27001 controls and corresponding evidence sources.
Train system owners on how to generate and validate evidence (e.g., access review reports, patch logs).
Document compensating controls for any missing technical evidence with risk acceptance justifications.
Perform mock auditor interviews with control owners to validate understanding and consistency of responses.

Module 9: Continuous Improvement and Management Review

Conduct formal management review meetings quarterly to evaluate ISMS performance and SOC 2 control effectiveness.
Track key performance indicators (KPIs) such as mean time to patch, access review completion rates, and incident resolution times.
Update the SoA annually or after significant changes, documenting rationale for control additions or removals.
Integrate internal audit findings from ISO 27001 Clause 9.2 into a corrective action plan with deadlines and owners.
Use customer audit requests and findings to identify systemic control weaknesses and prioritize remediation.
Assess the impact of regulatory changes (e.g., new data privacy laws) on control requirements and update policies accordingly.
Review training effectiveness for security awareness programs and adjust content based on phishing test results.
Document decisions from management reviews to satisfy ISO 7.4 and SOC 2 CC1.4 communication and oversight requirements.