Businesses all throughout North America are being hit hard with SOC compliance reporting, so if you’re asking yourself how to become SOC 2 compliant, NDNB – a leading provider of SOC 2 audit services – offers the following SOC 2 roadmap to compliance for helping ensure an efficient, thorough, and cost-effective process is put in place.

Here’s what you need to know regarding how to become SOC 2 compliant, courtesy of NDNB, North America’s leading provider of SOC 2 audits & assessments.

1. Begin with a SOC 2 Scoping & Readiness Assessment
   
2. Understand that Remediation is Common – and Necessary
   
3. Put in Place Critical Operational Initiatives
   
4. Remediate Technical & Security Controls
   
5. Understand the Importance of Documentation
   
6. Know that Regulatory Compliance is an Annual Commitment

Begin with a SOC 2 Scoping & Readiness Assessment

Before you can even begin to think about how to become SOC 2 compliant, you’ll need to put in place a process for assessing your internal controls – and that’s actually one of the core reasons to perform a much-needed SOC 2 scoping & readiness assessment. When performed by well-trained auditors, such an assessment yields the following benefits:

• Effectively identifies audit scope in terms of business processes to be examined, which would include physical locations to assess, personal involved in the audit, relevant third-party providers, and more.
• Assesses your current internal controls in terms of policies, procedures, and processes, and what gaps and deficiencies exist that require remediation prior to the commencement of the actual SOC 2 audit.
  Helps ensure transparency for the entire audit process, while also putting in place a roadmap for auditing success.
• Not performing a SOC 2 scoping & readiness assessment – especially for service organizations new to the SOC standard – is not recommended, so contact Christopher Nickell, CPA, at 1-800-277-5415, ext. 706, or email him at This email address is being protected from spambots. You need JavaScript enabled to view it. today to learn more. In the long run, such an assessment will save you thousands of dollars and dozens of man-hours once the audit actually begins. Being proactive – and not reactive – in terms of the overall SOC 2 auditing process, is critical.

Understand that Remediation is Common – and Necessary

It’s an accurate statement to say that every servicer organization we work with will have some degree of remediation to perform. Perhaps policies and procedures are missing, or maybe password complexity rules need to be strengthened. The amount of time spent on remediation is ultimately determined by how large your gaps and control deficiencies are. NDNB can assist with all aspects of remediation, from authoring policies and procedures to re-configuring information systems, and more.

If it’s policy documentation you need, we offer numerous information security policies and procedures templates, along with security awareness training materials, risk assessment program documentation, and more. That’s the NDNB difference – providing our clients with all the tools they need for SOC 2 auditing success.

Put in Place Critical Operational Initiatives

Documentation is critical, no question about it, but there’s also numerous initiatives that go above and beyond policy and procedures for SOC 2 auditing. More specifically, you’ll need to perform annual security awareness training, undertake a comprehensive risk assessment process, along with ensuring you monitor your third-party providers as necessary.

Simple policies and procedures speaking to these measures aren’t enough, you actually need to perform these actions. Do you undertake annual security awareness training, perform a risk assessment, and monitor your relevant third-party providers? If not, now’s the time to begin the process, and NDNB can assist as we offer documentation and other supporting templates for helping assist with such requirements.

Call and speak with Christopher Nickell, CPA, today at 1-800-277-5415, ext. 706, or email him at This email address is being protected from spambots. You need JavaScript enabled to view it. to learn more. NDNB has a vast repository of documents for helping businesses become SOC 2 compliant, and it’s one of many reasons why we’re North America’s leading provider of SOC audits.

Remediate Technical & Security Controls

Are your servers properly configured with industry leading security settings? Are your firewall rules written correctly for only allowing approved traffic? Do you have strong password complexity rules in place? These are just a few of the handful of technical & security controls that may very well require remediation.

Understand the Importance of Documentation

As briefly discussed earlier, documentation is a big part of the SOC 2 auditing process. You’ll be required to show auditors a wide-range of information security policies and procedures for many of the following core InfoSec domains:

• Access Control
• Data Backup
• Change Management/Change Control
• Incident Response
• Remote Access
• Network Security
• Anti-Virus
• And more

Authoring information security policies and procedures is a very time-consuming process, no question about it, and it’s why NDNB offers complimentary policy templates for helping organizations put in place all necessary documentation for SOC 2 compliance. Besides being a requirement for SOC 2 compliance, information security policies and procedures are a best practice that every business should be performing as having a clear understanding of critical operational initiatives is important.

Additionally, security awareness training is highly essential for SOC 2 compliance, and NDNB delivers with a well-written, comprehensive security awareness and training program which we provide to all of our valued clients. It’s just another example of what separates our firm from other providers.

Know that Regulatory Compliance is an Annual Commitment

There’s no “one-and-done” scenario with today’s compliance world. If you’ve been asked to become SOC 2 compliant, then you’ll need to be fully aware that it’s now an annual commitment as clients, prospects – and other relevant organizations – will want to obtain evidence of your internal controls functioning as designed. When we say “internal controls”, we’re speaking about your operational, information security, and management policies, procedures, and processes – the internal measures that run your business on a daily basis.

NDNB. North America’s SOC 2 Leaders – Fixed Fee Pricing

For more than a decade, NDNB has been one of North America’s most trusted providers for security, governance, and compliance solutions in today’s growing world of business regulations. We offer superior service, fixed-fees, and an efficient audit process from beginning to end. Call and speak with Christopher Nickell, CPA, today at 1-800-277-5415, ext. 706, or email him at This email address is being protected from spambots. You need JavaScript enabled to view it. to learn more.

NDNB also offers compliance services and solutions for many of today’s growing laws and regulations, such as the following: PCI DSS Compliance, SOC 1 SSAE 18 compliance, GLBA compliance, HIPAA compliance, GDPR compliance, FISMA compliance, and much more.