Steps to Achieve SOC 2 Compliance
TL;DR
SOC 2 compliance for SaaS companies involves an 8-step process: defining scope, choosing trust service criteria (starting with Security), building policies, establishing risk management, implementing controls with evidence gathering, conducting readiness assessments, working with certified auditors, and maintaining ongoing compliance. While it may seem overwhelming for small teams, following this structured roadmap with the right tools and documentation can make SOC 2 achievable as both a trust signal and sales enabler.
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: - Availability
- Confidentiality
- Processing Integrity
- Privacy
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?
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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.
If SOC 2® is in your scope of interest. Check our content for it:
Frequently Asked Questions
With traditional approaches, 6-12 months. With proper planning and automation tools, 3-6 months is achievable. The timeline depends on your starting point—companies with existing policies and documentation move faster than those building from scratch.
Many startups do, especially with modern automation tools. The key is having someone own the process, using frameworks like SOC 2 or ISO 27001 as guides, and maintaining consistent documentation. Compliance automation platforms provide the structure and guidance that previously required consultant expertise.
SOC 2 Type I is a snapshot assessment of your controls at a specific point in time, while Type II evaluates how effectively those controls operated over a period of 3-12 months. Type II is more comprehensive and typically preferred by enterprise customers, but Type I can be a good starting point for smaller companies building initial trust.
AI-powered platforms like Humadroid can automate policy generation, evidence collection, and control monitoring 24/7 for $125-250/month, replacing expensive consultants who charge $200k+ annually. The AI can instantly generate SOC 2-compliant policies, track control effectiveness, and maintain audit-ready documentation continuously.
The five SOC 2 Trust Service Criteria are Security (mandatory for all reports), Availability, Confidentiality, Processing Integrity, and Privacy. Most companies start with Security only and add additional criteria based on customer requirements and business needs.
