Your startup-friendly roadmap to building trust and passing the audit
For SaaS companies, especially those handling customer data, SOC 2 compliance has become more than just a nice-to-have; it’s a sales enabler, a trust signal, and sometimes a dealbreaker. But getting there can feel overwhelming.
If you’re a small team without a dedicated compliance officer, don’t worry. Here’s a step-by-step breakdown of what it really takes to get SOC 2 compliant. In plain English.
1. Define Your Scope and Compliance Goals
Not every company needs to go through the same process. Start by asking:
Will this be a Type I (snapshot in time) or Type II (operational over time) report?
Which products, infrastructure, and teams are in scope?
Are customers asking for specific TSCs (e.g. Security, Availability)?
Tip: Focus your scope to avoid overengineering, e.g., only the customer-facing platform, not internal tools.
2. Choose Your Trust Service Criteria (TSC)
SOC 2 is built on five criteria, but not all are required. Most companies start with:
Security (required for all SOC 2 reports)
Optional, depending on customer needs:
Start with Security. Expand only when necessary.
3. Build Foundational Policies and Procedures
You’ll need clear documentation for:
Access control (who gets access to what)
Incident response
Change management
Data retention and encryption
Onboarding/offboarding employees
If you’re using a tool like Humadroid, you can automate policy distribution, version tracking, and employee acknowledgments, saving a lot of manual admin.
4. Establish a Risk Management Process
Even for small teams, a basic risk register is a must. You’ll need to:
Identify potential risks to your systems and data
Assign likelihood and impact
Track mitigations and ownership
👉 Read: What is a Risk Register?
5. Implement Controls and Gather Evidence
SOC 2 isn’t just about policies, it’s about proving you follow them.
Examples of control evidence:
Audit logs from tools like AWS or Google Workspace
Proof of employee onboarding training
MFA settings and password policies are in effect
Use checklists to stay organized. Many tools (like Humadroid or Vanta) help automate this.
6. Conduct a Readiness Assessment
Before going to audit, do a dry run:
Are your controls working?
Are there gaps in documentation?
Are logs and screenshots accessible?
This step is often done with a consultant or compliance platform.
7. Work with an Auditor
Choose a certified CPA firm to perform your audit. For Type II, the audit usually spans 3–12 months of observed control operation.
Prepare to answer questions and submit evidence. Your auditor isn’t there to trick you they’re validating trust.
8. Maintain Compliance. It’s Not One-and-Done
SOC 2 is an annual process. Post-audit:
Set reminders to review access logs
Reassess risks quarterly
Keep your policies up to date
Re-onboard new employees properly
Consider scheduling internal reviews every 6 months.
