SOC2 Best Practice: A Complete Guide
You’re under pressure. Your clients are asking for proof of compliance. Your leadership wants confidence in your controls. And you’re stuck between dense regulatory language and the real-world need to deliver fast, credible results. Every day without clarity is another day of risk. Missed opportunities. Failed audits. Lost contracts. You need a shortcut from confusion to control-one that doesn’t rely on years of trial and error or expensive consultants billing by the hour. That all changes with SOC2 Best Practice: A Complete Guide. This is not theory. This is the exact framework top compliance leads use to build, implement, and prove effective SOC2 controls-starting from zero and moving to audit-ready in under 90 days. One learner, a security operations manager at a SaaS scale-up, used this guide to lead his company through its first successful Type II audit. Three months later, they signed a $2.1 million contract with a global enterprise client who required verified SOC2 compliance as a condition of the deal. This course gives you the structured, step-by-step blueprint to go from unprepared to accredited with confidence. No fluff. No filler. Just actionable insight you can apply immediately to design, document, and demonstrate world-class controls. Here’s how this course is structured to help you get there.Course Format & Delivery: Built for Real-World Speed, Trust, and Results SOC2 Best Practice: A Complete Guide is designed for professionals who demand clarity, control, and career momentum. This is a self-paced learning experience with immediate online access-no waiting for start dates, no rigid schedules. Begin today, progress on your terms, and complete the material in as little as 4–6 weeks with consistent focus. You receive full on-demand access, meaning you can engage with the content anytime, anywhere. The platform is mobile-friendly and accessible 24/7 across devices-laptop, tablet, or phone-so you can learn during commutes, between meetings, or in deep work sessions. What You’ll Receive
- Lifetime access to all course materials, with ongoing updates included at no extra cost-keeping your knowledge current as SOC2 standards evolve
- Direct access to expert-crafted guidance with clear, written explanations and real-world templates aligned to AICPA Trust Services Criteria
- Structured support pathways, including instructor-reviewed framework samples and community-led progress tracking for accountability
- A professionally recognised Certificate of Completion issued by The Art of Service-a globally trusted name in governance, risk, and compliance education
The certificate is shareable on LinkedIn, included in email signatures, and valued by employers, auditors, and clients alike. It’s not just proof of completion. It’s proof of capability. Zero-Risk Enrollment: Your Success Is Guaranteed
We eliminate every barrier to your success. There are no hidden fees. No subscription traps. No fine print. The price you see is the only price you pay. Enrollment includes secure checkout with Visa, Mastercard, and PayPal. After registration, you’ll receive a confirmation email, followed by access details once your account is provisioned-ensuring a smooth, reliable onboarding process. Your learning is protected by our 100% money-back guarantee. If you complete the core modules and don’t feel confident applying SOC2 best practices in your role, simply request a refund. No questions asked. You take zero financial risk. This Course Works-Even If You:
- Have never written a control policy before
- Are not in a dedicated compliance role (e.g., engineers, IT managers, CTOs)
- Work at a startup or mid-sized company without a compliance team
- Have failed a readiness assessment or client audit in the past
- Feel overwhelmed by jargon and framework complexity
Over 3,800 professionals have used this guide to close compliance gaps, pass audits, and win client trust. A head of infrastructure at a fintech startup told us: “I went from not knowing what a control objective was to presenting a full control matrix to our auditor-with confidence.” This works because it’s not abstract. It’s applied. Every concept connects directly to real deliverables: documentation, policies, evidence collection, and management reporting. You’re not just learning SOC2. You’re building it.
Module 1: Foundations of SOC2 and Trust Services Criteria - Understanding the Purpose and Scope of SOC2
- Differentiating Between SOC1, SOC2, and SOC3 Reports
- Exploring the Role of the AICPA in Standard Setting
- Introduction to the Five Trust Services Criteria (Security, Availability, Processing Integrity, Confidentiality, Privacy)
- When and Why Your Organisation Needs SOC2 Compliance
- Defining “System” in the Context of SOC2
- Determining Applicable Criteria Based on Business Model
- Understanding the Difference Between Type I and Type II Reports
- Identifying Key Stakeholders in the SOC2 Process
- Common Misconceptions About SOC2 Readiness
- The Business Value of SOC2 Beyond Audit Compliance
- Aligning SOC2 with Customer and Sales Requirements
- Overview of the Audit Lifecycle and Key Milestones
- How SOC2 Integrates with Other Frameworks (ISO 27001, NIST, GDPR)
- Finding Your Organisation’s Starting Point: The Readiness Gap Analysis
Module 2: Control Design and Risk Assessment Methodology - Conducting a Top-Down Risk Assessment for SOC2
- Mapping Business Processes to Trust Services Criteria
- Identifying Inherent Risks in Data Flows and Access Management
- Developing a Risk Ranking Framework (High, Medium, Low)
- Linking Risk to Appropriate Control Objectives
- Designing Preventive vs Detective Controls
- Using Control Design Templates for Consistency
- Documenting Control Purpose, Owner, and Frequency
- Avoiding Over-Engineering Controls
- Avoiding Common Control Design Pitfalls
- Establishing Tolerance Levels for Control Failure
- Creating a Control Inventory Spreadsheet
- Integrating Third-Party Risk into Control Design
- How to Justify “Not Applicable” Criteria
- Using Flowcharts to Visualise System Boundaries
Module 3: Security Principle (Common Criteria 1.1 to 1.5) - Implementing Formal Access Management Policies
- Defining User Roles and Segregation of Duties
- Enforcing Strong Password Policies and Lifecycle Management
- Using Multi-Factor Authentication (MFA) Across Systems
- Provisioning and De-Commissioning User Access
- Conducting Regular Access Reviews
- Managing Administrative Privileges and Just-In-Time Access
- Logging and Monitoring Unauthorised Access Attempts
- Securing Physical and Environmental Controls for Data Centres
- Protecting Against Malware and Zero-Day Threats
- Implementing Endpoint Detection and Response (EDR)
- Network Segmentation and Firewall Configuration
- Secure Configuration of Hardware and Software
- Using Encryption for Data at Rest and in Transit
- Handling Data Destruction and Secure Erasure
Module 4: Availability Principle (Criteria 2.1 to 2.7) - Defining System Availability Goals and SLAs
- Monitoring System Performance in Real Time
- Building Redundancy into Critical Infrastructure
- Designing for High Availability and Failover
- Implementing Disaster Recovery and Business Continuity Plans
- Testing Backups and Restoration Procedures Quarterly
- Managing Capacity Planning and Scalability
- Tracking and Responding to Downtime Incidents
- Using Uptime Monitoring Tools and Alerts
- Managing Third-Party Service Providers’ Uptime
- Documenting Downtime Root Cause Analysis
- Creating Incident Response Playbooks for Outages
- Establishing Communication Protocols During Disruptions
- Reporting Availability Metrics to Management
- Auditor Expectations for Availability Controls
Module 5: Processing Integrity Principle (Criteria 3.1 to 3.6) - Ensuring Data Accuracy and Completeness in Workflows
- Validating Input and Output Data Integrity
- Monitoring Batch Processing for Errors
- Implementing Data Reconciliation Processes
- Logging and Alerting on Data Anomalies
- Defining Acceptable Error Rates and Thresholds
- Using Checksums and Hashes for Data Verification
- Testing Processes for Consistency and Reliability
- Documenting End-to-End Data Flows
- Managing Scheduled Jobs and Automation Scripts
- Handling Data Re-Processing After Failures
- Ensuring Compliance with Service Terms and SLAs
- Excluding Marketing and Business Risk from Scope
- Using Logging Tools for Processing Oversight
- Communicating Processing Issues to Affected Parties
Module 6: Confidentiality Principle (Criteria 4.1 to 4.4) - Classifying Data Based on Sensitivity Levels
- Establishing Data Handling and Labelling Policies
- Restricting Access to Confidential Data by Role
- Encrypting Confidential Data in Storage and Transit
- Using Digital Rights Management (DRM) for Documents
- Monitoring and Logging Access to Confidential Data
- Enforcing Confidentiality in Contracts and NDAs
- Handling Data Sharing with Third Parties
- Safeguarding Intellectual Property Across Environments
- Managing Email and Communication Encryption
- Auditing File Transfer and Download Activities
- Detecting and Responding to Data Exfiltration Attempts
- Training Employees on Confidentiality Obligations
- Reporting Confidentiality Breaches to Management
- Documenting Confidentiality Control Exceptions
Module 7: Privacy Principle (Criteria 5.1 to 5.8) - Mapping Personal Data Collection Across Systems
- Aligning Data Use with Privacy Notices and Consent
- Implementing Data Minimisation and Purpose Limitation
- Establishing Data Retention and Deletion Schedules
- Responding to Data Subject Access Requests (DSARs)
- Providing Opt-In and Opt-Out Mechanisms
- Notifying Individuals of Data Breaches
- Conducting Privacy Impact Assessments (PIAs)
- Managing Cross-Border Data Transfers
- Integrating Privacy by Design into Product Development
- Using Anonymisation and Pseudonymisation Techniques
- Monitoring Access to Personal Information
- Training Staff on Data Protection Responsibilities
- Aligning Privacy Controls with GDPR, CCPA, and Other Regulations
- Reporting Privacy Metrics to Leadership
Module 8: Policy Development and Documentation Standards - Creating a Central Policy Repository
- Writing Policies That Are Clear, Enforceable, and Audit-Ready
- Version Control and Change Management for Policies
- Obtaining Management Approval and Sign-Off
- Distributing Policies to Relevant Teams
- Tracking Employee Acknowledgment and Training
- Aligning Policies with Control Objectives
- Documenting Exceptions and Variances
- Linking Policies to Risk Assessments
- Using Policy Templates for Speed and Accuracy
- Developing Acceptable Use, Remote Work, and Data Handling Policies
- Integrating Incident Response and BCP into Policy Framework
- Maintaining an Audit Trail of Policy Updates
- Ensuring Policies Are Accessible and Searchable
- Updating Policies After System or Process Changes
Module 9: Evidence Collection and Management - Identifying Required Evidence for Each Control
- Classifying Evidence Types: Logs, Screenshots, Emails, Reports
- Setting Retention Periods for Evidence (6–12 Months for Type II)
- Using Centralised Evidence Management Systems
- Organising Evidence by Control and Criterion
- Collecting Evidence at the Right Frequency (Daily, Weekly, Monthly)
- Automating Evidence Collection Where Possible
- Validating the Accuracy and Completeness of Evidence
- Handling Evidence from Third-Party Providers
- Redacting Sensitive Information from Submitted Evidence
- Creating Evidence Submission Checklists
- Using Timestamps and Digital Signatures for Integrity
- Avoiding Evidence Overload and Irrelevant Data
- Preparing Evidence Packs for Auditor Review
- Responding to Auditor Requests Efficiently
Module 10: Internal Testing and Remediation - Planning and Scheduling Control Testing Cycles
- Assigning Test Owners and Responsibilities
- Using Standardised Testing Procedures and Scripts
- Documenting Test Results Accurately
- Identifying Control Failures and Deficiencies
- Categorising Deficiencies: Minor, Significant, Material Weakness
- Creating Remediation Action Plans
- Setting Timelines and Milestones for Fixes
- Tracking Remediation Progress in a Dashboard
- Re-Testing Remediated Controls
- Escalating Persistent Control Issues to Management
- Reporting Testing Outcomes to the Audit Committee
- Using Root Cause Analysis to Prevent Recurrence
- Integrating Testing into Ongoing Operations
- Building a Culture of Continuous Compliance
Module 11: Third-Party Risk and Subservice Organisation Management - Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Understanding the Purpose and Scope of SOC2
- Differentiating Between SOC1, SOC2, and SOC3 Reports
- Exploring the Role of the AICPA in Standard Setting
- Introduction to the Five Trust Services Criteria (Security, Availability, Processing Integrity, Confidentiality, Privacy)
- When and Why Your Organisation Needs SOC2 Compliance
- Defining “System” in the Context of SOC2
- Determining Applicable Criteria Based on Business Model
- Understanding the Difference Between Type I and Type II Reports
- Identifying Key Stakeholders in the SOC2 Process
- Common Misconceptions About SOC2 Readiness
- The Business Value of SOC2 Beyond Audit Compliance
- Aligning SOC2 with Customer and Sales Requirements
- Overview of the Audit Lifecycle and Key Milestones
- How SOC2 Integrates with Other Frameworks (ISO 27001, NIST, GDPR)
- Finding Your Organisation’s Starting Point: The Readiness Gap Analysis
Module 2: Control Design and Risk Assessment Methodology - Conducting a Top-Down Risk Assessment for SOC2
- Mapping Business Processes to Trust Services Criteria
- Identifying Inherent Risks in Data Flows and Access Management
- Developing a Risk Ranking Framework (High, Medium, Low)
- Linking Risk to Appropriate Control Objectives
- Designing Preventive vs Detective Controls
- Using Control Design Templates for Consistency
- Documenting Control Purpose, Owner, and Frequency
- Avoiding Over-Engineering Controls
- Avoiding Common Control Design Pitfalls
- Establishing Tolerance Levels for Control Failure
- Creating a Control Inventory Spreadsheet
- Integrating Third-Party Risk into Control Design
- How to Justify “Not Applicable” Criteria
- Using Flowcharts to Visualise System Boundaries
Module 3: Security Principle (Common Criteria 1.1 to 1.5) - Implementing Formal Access Management Policies
- Defining User Roles and Segregation of Duties
- Enforcing Strong Password Policies and Lifecycle Management
- Using Multi-Factor Authentication (MFA) Across Systems
- Provisioning and De-Commissioning User Access
- Conducting Regular Access Reviews
- Managing Administrative Privileges and Just-In-Time Access
- Logging and Monitoring Unauthorised Access Attempts
- Securing Physical and Environmental Controls for Data Centres
- Protecting Against Malware and Zero-Day Threats
- Implementing Endpoint Detection and Response (EDR)
- Network Segmentation and Firewall Configuration
- Secure Configuration of Hardware and Software
- Using Encryption for Data at Rest and in Transit
- Handling Data Destruction and Secure Erasure
Module 4: Availability Principle (Criteria 2.1 to 2.7) - Defining System Availability Goals and SLAs
- Monitoring System Performance in Real Time
- Building Redundancy into Critical Infrastructure
- Designing for High Availability and Failover
- Implementing Disaster Recovery and Business Continuity Plans
- Testing Backups and Restoration Procedures Quarterly
- Managing Capacity Planning and Scalability
- Tracking and Responding to Downtime Incidents
- Using Uptime Monitoring Tools and Alerts
- Managing Third-Party Service Providers’ Uptime
- Documenting Downtime Root Cause Analysis
- Creating Incident Response Playbooks for Outages
- Establishing Communication Protocols During Disruptions
- Reporting Availability Metrics to Management
- Auditor Expectations for Availability Controls
Module 5: Processing Integrity Principle (Criteria 3.1 to 3.6) - Ensuring Data Accuracy and Completeness in Workflows
- Validating Input and Output Data Integrity
- Monitoring Batch Processing for Errors
- Implementing Data Reconciliation Processes
- Logging and Alerting on Data Anomalies
- Defining Acceptable Error Rates and Thresholds
- Using Checksums and Hashes for Data Verification
- Testing Processes for Consistency and Reliability
- Documenting End-to-End Data Flows
- Managing Scheduled Jobs and Automation Scripts
- Handling Data Re-Processing After Failures
- Ensuring Compliance with Service Terms and SLAs
- Excluding Marketing and Business Risk from Scope
- Using Logging Tools for Processing Oversight
- Communicating Processing Issues to Affected Parties
Module 6: Confidentiality Principle (Criteria 4.1 to 4.4) - Classifying Data Based on Sensitivity Levels
- Establishing Data Handling and Labelling Policies
- Restricting Access to Confidential Data by Role
- Encrypting Confidential Data in Storage and Transit
- Using Digital Rights Management (DRM) for Documents
- Monitoring and Logging Access to Confidential Data
- Enforcing Confidentiality in Contracts and NDAs
- Handling Data Sharing with Third Parties
- Safeguarding Intellectual Property Across Environments
- Managing Email and Communication Encryption
- Auditing File Transfer and Download Activities
- Detecting and Responding to Data Exfiltration Attempts
- Training Employees on Confidentiality Obligations
- Reporting Confidentiality Breaches to Management
- Documenting Confidentiality Control Exceptions
Module 7: Privacy Principle (Criteria 5.1 to 5.8) - Mapping Personal Data Collection Across Systems
- Aligning Data Use with Privacy Notices and Consent
- Implementing Data Minimisation and Purpose Limitation
- Establishing Data Retention and Deletion Schedules
- Responding to Data Subject Access Requests (DSARs)
- Providing Opt-In and Opt-Out Mechanisms
- Notifying Individuals of Data Breaches
- Conducting Privacy Impact Assessments (PIAs)
- Managing Cross-Border Data Transfers
- Integrating Privacy by Design into Product Development
- Using Anonymisation and Pseudonymisation Techniques
- Monitoring Access to Personal Information
- Training Staff on Data Protection Responsibilities
- Aligning Privacy Controls with GDPR, CCPA, and Other Regulations
- Reporting Privacy Metrics to Leadership
Module 8: Policy Development and Documentation Standards - Creating a Central Policy Repository
- Writing Policies That Are Clear, Enforceable, and Audit-Ready
- Version Control and Change Management for Policies
- Obtaining Management Approval and Sign-Off
- Distributing Policies to Relevant Teams
- Tracking Employee Acknowledgment and Training
- Aligning Policies with Control Objectives
- Documenting Exceptions and Variances
- Linking Policies to Risk Assessments
- Using Policy Templates for Speed and Accuracy
- Developing Acceptable Use, Remote Work, and Data Handling Policies
- Integrating Incident Response and BCP into Policy Framework
- Maintaining an Audit Trail of Policy Updates
- Ensuring Policies Are Accessible and Searchable
- Updating Policies After System or Process Changes
Module 9: Evidence Collection and Management - Identifying Required Evidence for Each Control
- Classifying Evidence Types: Logs, Screenshots, Emails, Reports
- Setting Retention Periods for Evidence (6–12 Months for Type II)
- Using Centralised Evidence Management Systems
- Organising Evidence by Control and Criterion
- Collecting Evidence at the Right Frequency (Daily, Weekly, Monthly)
- Automating Evidence Collection Where Possible
- Validating the Accuracy and Completeness of Evidence
- Handling Evidence from Third-Party Providers
- Redacting Sensitive Information from Submitted Evidence
- Creating Evidence Submission Checklists
- Using Timestamps and Digital Signatures for Integrity
- Avoiding Evidence Overload and Irrelevant Data
- Preparing Evidence Packs for Auditor Review
- Responding to Auditor Requests Efficiently
Module 10: Internal Testing and Remediation - Planning and Scheduling Control Testing Cycles
- Assigning Test Owners and Responsibilities
- Using Standardised Testing Procedures and Scripts
- Documenting Test Results Accurately
- Identifying Control Failures and Deficiencies
- Categorising Deficiencies: Minor, Significant, Material Weakness
- Creating Remediation Action Plans
- Setting Timelines and Milestones for Fixes
- Tracking Remediation Progress in a Dashboard
- Re-Testing Remediated Controls
- Escalating Persistent Control Issues to Management
- Reporting Testing Outcomes to the Audit Committee
- Using Root Cause Analysis to Prevent Recurrence
- Integrating Testing into Ongoing Operations
- Building a Culture of Continuous Compliance
Module 11: Third-Party Risk and Subservice Organisation Management - Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Implementing Formal Access Management Policies
- Defining User Roles and Segregation of Duties
- Enforcing Strong Password Policies and Lifecycle Management
- Using Multi-Factor Authentication (MFA) Across Systems
- Provisioning and De-Commissioning User Access
- Conducting Regular Access Reviews
- Managing Administrative Privileges and Just-In-Time Access
- Logging and Monitoring Unauthorised Access Attempts
- Securing Physical and Environmental Controls for Data Centres
- Protecting Against Malware and Zero-Day Threats
- Implementing Endpoint Detection and Response (EDR)
- Network Segmentation and Firewall Configuration
- Secure Configuration of Hardware and Software
- Using Encryption for Data at Rest and in Transit
- Handling Data Destruction and Secure Erasure
Module 4: Availability Principle (Criteria 2.1 to 2.7) - Defining System Availability Goals and SLAs
- Monitoring System Performance in Real Time
- Building Redundancy into Critical Infrastructure
- Designing for High Availability and Failover
- Implementing Disaster Recovery and Business Continuity Plans
- Testing Backups and Restoration Procedures Quarterly
- Managing Capacity Planning and Scalability
- Tracking and Responding to Downtime Incidents
- Using Uptime Monitoring Tools and Alerts
- Managing Third-Party Service Providers’ Uptime
- Documenting Downtime Root Cause Analysis
- Creating Incident Response Playbooks for Outages
- Establishing Communication Protocols During Disruptions
- Reporting Availability Metrics to Management
- Auditor Expectations for Availability Controls
Module 5: Processing Integrity Principle (Criteria 3.1 to 3.6) - Ensuring Data Accuracy and Completeness in Workflows
- Validating Input and Output Data Integrity
- Monitoring Batch Processing for Errors
- Implementing Data Reconciliation Processes
- Logging and Alerting on Data Anomalies
- Defining Acceptable Error Rates and Thresholds
- Using Checksums and Hashes for Data Verification
- Testing Processes for Consistency and Reliability
- Documenting End-to-End Data Flows
- Managing Scheduled Jobs and Automation Scripts
- Handling Data Re-Processing After Failures
- Ensuring Compliance with Service Terms and SLAs
- Excluding Marketing and Business Risk from Scope
- Using Logging Tools for Processing Oversight
- Communicating Processing Issues to Affected Parties
Module 6: Confidentiality Principle (Criteria 4.1 to 4.4) - Classifying Data Based on Sensitivity Levels
- Establishing Data Handling and Labelling Policies
- Restricting Access to Confidential Data by Role
- Encrypting Confidential Data in Storage and Transit
- Using Digital Rights Management (DRM) for Documents
- Monitoring and Logging Access to Confidential Data
- Enforcing Confidentiality in Contracts and NDAs
- Handling Data Sharing with Third Parties
- Safeguarding Intellectual Property Across Environments
- Managing Email and Communication Encryption
- Auditing File Transfer and Download Activities
- Detecting and Responding to Data Exfiltration Attempts
- Training Employees on Confidentiality Obligations
- Reporting Confidentiality Breaches to Management
- Documenting Confidentiality Control Exceptions
Module 7: Privacy Principle (Criteria 5.1 to 5.8) - Mapping Personal Data Collection Across Systems
- Aligning Data Use with Privacy Notices and Consent
- Implementing Data Minimisation and Purpose Limitation
- Establishing Data Retention and Deletion Schedules
- Responding to Data Subject Access Requests (DSARs)
- Providing Opt-In and Opt-Out Mechanisms
- Notifying Individuals of Data Breaches
- Conducting Privacy Impact Assessments (PIAs)
- Managing Cross-Border Data Transfers
- Integrating Privacy by Design into Product Development
- Using Anonymisation and Pseudonymisation Techniques
- Monitoring Access to Personal Information
- Training Staff on Data Protection Responsibilities
- Aligning Privacy Controls with GDPR, CCPA, and Other Regulations
- Reporting Privacy Metrics to Leadership
Module 8: Policy Development and Documentation Standards - Creating a Central Policy Repository
- Writing Policies That Are Clear, Enforceable, and Audit-Ready
- Version Control and Change Management for Policies
- Obtaining Management Approval and Sign-Off
- Distributing Policies to Relevant Teams
- Tracking Employee Acknowledgment and Training
- Aligning Policies with Control Objectives
- Documenting Exceptions and Variances
- Linking Policies to Risk Assessments
- Using Policy Templates for Speed and Accuracy
- Developing Acceptable Use, Remote Work, and Data Handling Policies
- Integrating Incident Response and BCP into Policy Framework
- Maintaining an Audit Trail of Policy Updates
- Ensuring Policies Are Accessible and Searchable
- Updating Policies After System or Process Changes
Module 9: Evidence Collection and Management - Identifying Required Evidence for Each Control
- Classifying Evidence Types: Logs, Screenshots, Emails, Reports
- Setting Retention Periods for Evidence (6–12 Months for Type II)
- Using Centralised Evidence Management Systems
- Organising Evidence by Control and Criterion
- Collecting Evidence at the Right Frequency (Daily, Weekly, Monthly)
- Automating Evidence Collection Where Possible
- Validating the Accuracy and Completeness of Evidence
- Handling Evidence from Third-Party Providers
- Redacting Sensitive Information from Submitted Evidence
- Creating Evidence Submission Checklists
- Using Timestamps and Digital Signatures for Integrity
- Avoiding Evidence Overload and Irrelevant Data
- Preparing Evidence Packs for Auditor Review
- Responding to Auditor Requests Efficiently
Module 10: Internal Testing and Remediation - Planning and Scheduling Control Testing Cycles
- Assigning Test Owners and Responsibilities
- Using Standardised Testing Procedures and Scripts
- Documenting Test Results Accurately
- Identifying Control Failures and Deficiencies
- Categorising Deficiencies: Minor, Significant, Material Weakness
- Creating Remediation Action Plans
- Setting Timelines and Milestones for Fixes
- Tracking Remediation Progress in a Dashboard
- Re-Testing Remediated Controls
- Escalating Persistent Control Issues to Management
- Reporting Testing Outcomes to the Audit Committee
- Using Root Cause Analysis to Prevent Recurrence
- Integrating Testing into Ongoing Operations
- Building a Culture of Continuous Compliance
Module 11: Third-Party Risk and Subservice Organisation Management - Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Ensuring Data Accuracy and Completeness in Workflows
- Validating Input and Output Data Integrity
- Monitoring Batch Processing for Errors
- Implementing Data Reconciliation Processes
- Logging and Alerting on Data Anomalies
- Defining Acceptable Error Rates and Thresholds
- Using Checksums and Hashes for Data Verification
- Testing Processes for Consistency and Reliability
- Documenting End-to-End Data Flows
- Managing Scheduled Jobs and Automation Scripts
- Handling Data Re-Processing After Failures
- Ensuring Compliance with Service Terms and SLAs
- Excluding Marketing and Business Risk from Scope
- Using Logging Tools for Processing Oversight
- Communicating Processing Issues to Affected Parties
Module 6: Confidentiality Principle (Criteria 4.1 to 4.4) - Classifying Data Based on Sensitivity Levels
- Establishing Data Handling and Labelling Policies
- Restricting Access to Confidential Data by Role
- Encrypting Confidential Data in Storage and Transit
- Using Digital Rights Management (DRM) for Documents
- Monitoring and Logging Access to Confidential Data
- Enforcing Confidentiality in Contracts and NDAs
- Handling Data Sharing with Third Parties
- Safeguarding Intellectual Property Across Environments
- Managing Email and Communication Encryption
- Auditing File Transfer and Download Activities
- Detecting and Responding to Data Exfiltration Attempts
- Training Employees on Confidentiality Obligations
- Reporting Confidentiality Breaches to Management
- Documenting Confidentiality Control Exceptions
Module 7: Privacy Principle (Criteria 5.1 to 5.8) - Mapping Personal Data Collection Across Systems
- Aligning Data Use with Privacy Notices and Consent
- Implementing Data Minimisation and Purpose Limitation
- Establishing Data Retention and Deletion Schedules
- Responding to Data Subject Access Requests (DSARs)
- Providing Opt-In and Opt-Out Mechanisms
- Notifying Individuals of Data Breaches
- Conducting Privacy Impact Assessments (PIAs)
- Managing Cross-Border Data Transfers
- Integrating Privacy by Design into Product Development
- Using Anonymisation and Pseudonymisation Techniques
- Monitoring Access to Personal Information
- Training Staff on Data Protection Responsibilities
- Aligning Privacy Controls with GDPR, CCPA, and Other Regulations
- Reporting Privacy Metrics to Leadership
Module 8: Policy Development and Documentation Standards - Creating a Central Policy Repository
- Writing Policies That Are Clear, Enforceable, and Audit-Ready
- Version Control and Change Management for Policies
- Obtaining Management Approval and Sign-Off
- Distributing Policies to Relevant Teams
- Tracking Employee Acknowledgment and Training
- Aligning Policies with Control Objectives
- Documenting Exceptions and Variances
- Linking Policies to Risk Assessments
- Using Policy Templates for Speed and Accuracy
- Developing Acceptable Use, Remote Work, and Data Handling Policies
- Integrating Incident Response and BCP into Policy Framework
- Maintaining an Audit Trail of Policy Updates
- Ensuring Policies Are Accessible and Searchable
- Updating Policies After System or Process Changes
Module 9: Evidence Collection and Management - Identifying Required Evidence for Each Control
- Classifying Evidence Types: Logs, Screenshots, Emails, Reports
- Setting Retention Periods for Evidence (6–12 Months for Type II)
- Using Centralised Evidence Management Systems
- Organising Evidence by Control and Criterion
- Collecting Evidence at the Right Frequency (Daily, Weekly, Monthly)
- Automating Evidence Collection Where Possible
- Validating the Accuracy and Completeness of Evidence
- Handling Evidence from Third-Party Providers
- Redacting Sensitive Information from Submitted Evidence
- Creating Evidence Submission Checklists
- Using Timestamps and Digital Signatures for Integrity
- Avoiding Evidence Overload and Irrelevant Data
- Preparing Evidence Packs for Auditor Review
- Responding to Auditor Requests Efficiently
Module 10: Internal Testing and Remediation - Planning and Scheduling Control Testing Cycles
- Assigning Test Owners and Responsibilities
- Using Standardised Testing Procedures and Scripts
- Documenting Test Results Accurately
- Identifying Control Failures and Deficiencies
- Categorising Deficiencies: Minor, Significant, Material Weakness
- Creating Remediation Action Plans
- Setting Timelines and Milestones for Fixes
- Tracking Remediation Progress in a Dashboard
- Re-Testing Remediated Controls
- Escalating Persistent Control Issues to Management
- Reporting Testing Outcomes to the Audit Committee
- Using Root Cause Analysis to Prevent Recurrence
- Integrating Testing into Ongoing Operations
- Building a Culture of Continuous Compliance
Module 11: Third-Party Risk and Subservice Organisation Management - Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Mapping Personal Data Collection Across Systems
- Aligning Data Use with Privacy Notices and Consent
- Implementing Data Minimisation and Purpose Limitation
- Establishing Data Retention and Deletion Schedules
- Responding to Data Subject Access Requests (DSARs)
- Providing Opt-In and Opt-Out Mechanisms
- Notifying Individuals of Data Breaches
- Conducting Privacy Impact Assessments (PIAs)
- Managing Cross-Border Data Transfers
- Integrating Privacy by Design into Product Development
- Using Anonymisation and Pseudonymisation Techniques
- Monitoring Access to Personal Information
- Training Staff on Data Protection Responsibilities
- Aligning Privacy Controls with GDPR, CCPA, and Other Regulations
- Reporting Privacy Metrics to Leadership
Module 8: Policy Development and Documentation Standards - Creating a Central Policy Repository
- Writing Policies That Are Clear, Enforceable, and Audit-Ready
- Version Control and Change Management for Policies
- Obtaining Management Approval and Sign-Off
- Distributing Policies to Relevant Teams
- Tracking Employee Acknowledgment and Training
- Aligning Policies with Control Objectives
- Documenting Exceptions and Variances
- Linking Policies to Risk Assessments
- Using Policy Templates for Speed and Accuracy
- Developing Acceptable Use, Remote Work, and Data Handling Policies
- Integrating Incident Response and BCP into Policy Framework
- Maintaining an Audit Trail of Policy Updates
- Ensuring Policies Are Accessible and Searchable
- Updating Policies After System or Process Changes
Module 9: Evidence Collection and Management - Identifying Required Evidence for Each Control
- Classifying Evidence Types: Logs, Screenshots, Emails, Reports
- Setting Retention Periods for Evidence (6–12 Months for Type II)
- Using Centralised Evidence Management Systems
- Organising Evidence by Control and Criterion
- Collecting Evidence at the Right Frequency (Daily, Weekly, Monthly)
- Automating Evidence Collection Where Possible
- Validating the Accuracy and Completeness of Evidence
- Handling Evidence from Third-Party Providers
- Redacting Sensitive Information from Submitted Evidence
- Creating Evidence Submission Checklists
- Using Timestamps and Digital Signatures for Integrity
- Avoiding Evidence Overload and Irrelevant Data
- Preparing Evidence Packs for Auditor Review
- Responding to Auditor Requests Efficiently
Module 10: Internal Testing and Remediation - Planning and Scheduling Control Testing Cycles
- Assigning Test Owners and Responsibilities
- Using Standardised Testing Procedures and Scripts
- Documenting Test Results Accurately
- Identifying Control Failures and Deficiencies
- Categorising Deficiencies: Minor, Significant, Material Weakness
- Creating Remediation Action Plans
- Setting Timelines and Milestones for Fixes
- Tracking Remediation Progress in a Dashboard
- Re-Testing Remediated Controls
- Escalating Persistent Control Issues to Management
- Reporting Testing Outcomes to the Audit Committee
- Using Root Cause Analysis to Prevent Recurrence
- Integrating Testing into Ongoing Operations
- Building a Culture of Continuous Compliance
Module 11: Third-Party Risk and Subservice Organisation Management - Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Identifying Required Evidence for Each Control
- Classifying Evidence Types: Logs, Screenshots, Emails, Reports
- Setting Retention Periods for Evidence (6–12 Months for Type II)
- Using Centralised Evidence Management Systems
- Organising Evidence by Control and Criterion
- Collecting Evidence at the Right Frequency (Daily, Weekly, Monthly)
- Automating Evidence Collection Where Possible
- Validating the Accuracy and Completeness of Evidence
- Handling Evidence from Third-Party Providers
- Redacting Sensitive Information from Submitted Evidence
- Creating Evidence Submission Checklists
- Using Timestamps and Digital Signatures for Integrity
- Avoiding Evidence Overload and Irrelevant Data
- Preparing Evidence Packs for Auditor Review
- Responding to Auditor Requests Efficiently
Module 10: Internal Testing and Remediation - Planning and Scheduling Control Testing Cycles
- Assigning Test Owners and Responsibilities
- Using Standardised Testing Procedures and Scripts
- Documenting Test Results Accurately
- Identifying Control Failures and Deficiencies
- Categorising Deficiencies: Minor, Significant, Material Weakness
- Creating Remediation Action Plans
- Setting Timelines and Milestones for Fixes
- Tracking Remediation Progress in a Dashboard
- Re-Testing Remediated Controls
- Escalating Persistent Control Issues to Management
- Reporting Testing Outcomes to the Audit Committee
- Using Root Cause Analysis to Prevent Recurrence
- Integrating Testing into Ongoing Operations
- Building a Culture of Continuous Compliance
Module 11: Third-Party Risk and Subservice Organisation Management - Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Identifying Critical Subservice Organisations (SSOs)
- Determining Whether SSOs Are Inclusive or Exclusive in Scope
- Reviewing Vendor SOC2 Reports and Attestations
- Assessing Vendor Controls Using Questionnaires
- Implementing Vendor Risk Scoring Models
- Conducting On-Site and Remote Vendor Assessments
- Requiring Modern Contracts with Compliance Clauses
- Monitoring Vendor Performance and Incidents
- Managing Multi-Tiered Vendor Dependencies
- Preparing the Vendor Management Appendix for Auditors
- Using Automated Vendor Risk Platforms
- Handling Vendor Control Deficiencies
- Ensuring Data Processing Agreements Are in Place
- Tracking Renewals and Re-Certifications
- Reporting Third-Party Risk to Executive Leadership
Module 12: Readiness Assessments and Audit Preparation - Conducting a Formal Readiness Assessment 6–8 Weeks Before Audit
- Simulating Auditor Interviews and Walkthroughs
- Preparing Management Representations and Assertions
- Finalising the Description of the System Document
- Reviewing Control Design and Operating Effectiveness
- Compiling Evidence Packs by Control
- Creating a RACI Chart for Audit Coordination
- Identifying Primary and Backup System Owners
- Running a Mock Audit with External Experts
- Scheduling Auditor Access to Systems and Personnel
- Preparing Frequently Asked Questions for the Audit Team
- Conducting Pre-Audit Kick-Off Meetings
- Aligning Internal Teams Around Audit Objectives
- Establishing Communication Protocols During Fieldwork
- Staging a Dry Run of Control Presentations
Module 13: Working with Auditors and Managing the Audit Process - Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Selecting the Right CPA Firm for Your Needs
- Understanding Auditor Independence Requirements
- Setting Clear Expectations for Scope and Timeline
- Submitting Required Documentation on Schedule
- Facilitating Auditor Access to Logs and Systems
- Participating in Control Walkthroughs Confidently
- Answering Auditor Inquiries Accurately and Promptly
- Escalating Disagreements Professionally
- Tracking Audit Requests and Deliverables
- Hosting Weekly Status Syncs with the Audit Team
- Managing Evidence Updates During Fieldwork
- Reviewing Draft Reports for Accuracy
- Responding to Identified Control Issues
- Negotiating the Final Opinion and Report Language
- Securing Final Approval from Management
Module 14: Post-Audit Actions and Continuous Improvement - Disseminating the Final SOC2 Report to Stakeholders
- Using the Report in Sales and Marketing Efforts
- Updating Customer-Facing Security Documentation
- Conducting a Post-Audit Retrospective
- Identifying Lessons Learned and Process Gaps
- Updating Controls Based on Audit Feedback
- Establishing a Schedule for Ongoing Monitoring
- Planning for Next Year’s Type II Report
- Integrating SOC2 Requirements into New Projects
- Building a Compliance Calendar for Annual Tasks
- Training New Hires on SOC2 Responsibilities
- Reporting Compliance Status to the Board Quarterly
- Using Metrics to Demonstrate Compliance Maturity
- Scaling the Program for Growth and M&A
- Preparing for Recertification with Less Effort
Module 15: Certification, Career Advancement, and Next Steps - Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards
- Receiving Your Certificate of Completion from The Art of Service
- Adding the Credential to LinkedIn and Resumes
- Leveraging Your Knowledge in Job Interviews and Promotions
- Transitioning into GRC, Compliance, or Security Roles
- Becoming the Go-To Expert in Your Organisation
- Presenting SOC2 Updates to Executives and Investors
- Consulting for Other Companies on Compliance
- Using Templates and Frameworks in Future Projects
- Accessing Updated Materials for Lifetime Learning
- Joining a Community of Practitioners for Ongoing Support
- Tracking Your Progress with Built-In Checklists
- Unlocking Advanced Badges for Mastery Levels
- Setting Goals for Advanced Frameworks (ISO, HITRUST, CSA)
- Designing a Personal Compliance Roadmap
- Staying Ahead of Emerging Threats and Standards