Building Trust Through Audit-Backed Financial Control Assurance

Atlanta has long been a cornerstone of the financial services industry in the Southeast. With a robust ecosystem of banks, mortgage servicers, fintech startups, investment firms, and payroll providers, the city plays a vital role in the national and global financial infrastructure.

As regulatory scrutiny and client expectations intensify, Atlanta-based financial service providers must demonstrate strong internal controls—particularly around financial reporting processes. That’s where SOC 1 compliance comes in.

At NDB, we offer full-service SOC 1 audit and advisory solutions for financial institutions in Atlanta. Backed by a team of experienced CPA auditors and decades of risk advisory expertise, we help service organizations achieve compliance with SSAE 18 SOC 1 standards—and stand out as trusted, secure partners in the financial space.

What Is a SOC 1 Audit and Why Is It Important?

A SOC 1 report, governed by the AICPA’s Statement on Standards for Attestation Engagements (SSAE 18), focuses on controls that are relevant to your clients’ financial reporting. If your organization performs services like payment processing, investment reporting, transaction handling, or fund administration, a SOC 1 report is often required.

SOC 1 Reports Come in Two Types

• Type I – Evaluates the design of your controls at a specific point in time.
• Type II – Tests the operational effectiveness of those controls over a period (typically 6–12 months).

A SOC 1 report allows your clients—and regulators—to trust that your financial processes are well-controlled, reducing their own risk and fulfilling their oversight responsibilities.

Why Atlanta’s Financial Industry Needs SOC 1
Atlanta’s financial sector is diverse and rapidly evolving. From legacy banking institutions and credit unions to emerging fintech and regtech firms, companies are being asked to validate their control environments with third-party audit reports.

Whether you're serving Fortune 500 clients or scaling a cloud-based lending platform, a SOC 1 report helps you:

• Meet regulatory and client demands for assurance
• Improve the transparency of your financial operations
• Differentiate from competitors in RFPs and partnerships
• Proactively manage risk and governance

Who We Serve in Atlanta
We provide SOC 1 services to a wide range of financial service providers in the Atlanta metro area and across Georgia:

• Regional and community banks
• Private equity and investment firms
• Mortgage and loan servicers
• Payroll and benefits administrators
• Third-party administrators (TPAs)
• Accounting and fund administration platforms
• Fintech startups and BaaS companies

Our SOC 1 Audit Services for Atlanta
As a licensed CPA firm, NDB delivers AICPA-compliant SOC 1 audits with efficiency, clarity, and integrity. But we’re not just auditors—we’re compliance partners who guide you through the entire audit lifecycle.

We take a hands-on, transparent approach from readiness assessment to report delivery, making the process manageable and focused on long-term value.

Our Process: Step-by-Step SOC 1 Engagement

1. Scoping & Consultation
We begin with a detailed consultation to understand your service offerings, financial systems, reporting risks, and customer requirements. This helps define the scope of your SOC 1 audit.

• Identify relevant financial reporting controls
• Align audit with industry standards and client needs
• Set clear expectations and timeline

2. Readiness Assessment
Before the audit begins, we perform a thorough readiness review to assess your control design, policies, documentation, and gaps.

• Evaluate the current control environment
• Recommend remediation actions if needed
• Prepare your team for a smooth audit phase

3. Evidence Collection & Control Testing
During the audit, our CPA-led team collects evidence and tests controls in line with SOC 1 Type I or Type II requirements.

• Document your system description
• Interview key personnel and review system activity
• Test controls against defined objectives and criteria

4. Report Drafting & Finalization
We draft the SOC 1 report, including your management assertion, the system description, our independent auditor opinion, and any exceptions noted.

• Review findings with your team
• Finalize the report in a timely, audit-ready format
• Provide guidance for client communication or regulator inquiries

5. Ongoing Support & Annual Audits
We assist you with future audit planning, control optimization, and remediation efforts to support continuous improvement.

• Annual SOC 1 Type II audit cycles
• Optional readiness updates or risk assessments
• Expansion support (e.g., SOC 2, ISO 27001, HITRUST)

Why Financial Firms in Atlanta Choose NDB

CPA-Led Audit Team – SOC 1 reports require attestation from a licensed CPA firm. Our audit team combines financial expertise with regulatory know-how.

Audit Efficiency – We offer structured, timely engagements designed to reduce business disruption and internal workload.

Industry Alignment – With clients across finance, lending, and fintech, we tailor our SOC 1 process to fit your sector-specific control expectations.

Remediation-Focused – We don’t just audit—we advise. Our readiness services and control gap analysis help you succeed from day one.

Trusted Across the Southeast – We work with organizations throughout Georgia, Alabama, Florida, and the broader financial services landscape.

The Value You Gain

• SOC 1 Type I or Type II report, ready to share with customers and regulators
• Better understanding of your internal control environment
• Enhanced trust and transparency for your stakeholders
• A proven compliance partner you can rely on year after year

Get Started with NDB in Atlanta

If you're a financial institution or third-party provider in Atlanta looking to meet SOC 1 requirements, NDB is here to help. With a team of experienced auditors, deep regulatory expertise, and a proven track record of financial sector compliance, we’re ready to support your next audit engagement with professionalism and precision.

NDB – Trusted SOC 1 Auditors for Atlanta’s Financial Institutions
Clear controls. Verified compliance. Confident growth.