SOC 2 compliance checklist & best practices for successful IT audits in 2025

Preparing for a SOC 2 audit without a comprehensive checklist is a recipe for missed deadlines, overlooked requirements, and unnecessary stress. Organizations that wing it often find themselves scrambling to gather evidence, implement missing controls, and explain gaps to auditors.

A well-structured SOC 2 compliance checklist helps organizations streamline their readiness process, meet requirements efficiently, and pass audits with confidence. More importantly, it ensures you're not just checking boxes but actually strengthening your security posture and building lasting trust with clients.

Preparing for a SOC 2 audit can feel overwhelming, but having a clear plan and following proven best practices makes all the difference. 

This piece outlines the essential steps to help your organization stay organized, satisfy SOC 2 requirements, and approach audits with confidence in 2025 and beyond.

What is SOC compliance?

SOC (System and Organization Controls) compliance means adhering to standards established by the American Institute of Certified Public Accountants (AICPA) to demonstrate that your organization has effective controls over its systems and processes.

There are different types of SOC reports, including SOC 1, SOC 2, and SOC 3. SOC 2 specifically focuses on controls relevant to the Trust Services Criteria. This framework makes SOC 2 the most relevant compliance standard for technology companies, cloud service providers, and any organization that handles sensitive customer data.

Unlike SOC 1, which examines financial reporting controls, SOC 2 evaluates how well you protect customer information and maintain system reliability. This makes it essential for service organizations that need to demonstrate trustworthy data handling practices to their clients and stakeholders.

What are the requirements for SOC 2 compliance?

SOC 2 compliance isn't a simple pass-or-fail test. It requires organizations to meet several core requirements that demonstrate comprehensive control over their systems and data handling practices.

1. Implementing Trust Services Criteria (TSC) controls

Your organization must establish controls that address one or more of the five Trust Services Criteria (TSC): security, availability, processing integrity, confidentiality, and privacy. Security is mandatory for all SOC 2 audits, while the other criteria are included based on your services and client needs.

2. Documenting policies and procedures

Documentation isn't just about having policies on paper. You need comprehensive, up-to-date documentation that clearly describes how your controls work, who's responsible for them, and how they're monitored and maintained.

3. Testing and monitoring control effectiveness

Having controls documented means nothing if they're not actually working. You must show evidence that your controls are properly implemented and operating effectively through regular testing, monitoring, and documentation of results.

4. Maintaining ongoing compliance 

SOC 2 compliance isn't a one-time achievement. It requires ongoing commitment to maintain and improve your controls, conduct regular reviews, and adapt to changing business needs and security threats.

5. Working with qualified auditors and providing evidence

You'll need to engage an independent CPA firm to conduct your audit and provide them with detailed evidence of your control implementation and effectiveness over the specified audit period.

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What is a SOC 2 compliance checklist?

A SOC 2 compliance checklist is a detailed guide that ensures all necessary controls and policies are in place before your audit begins. It serves as your roadmap through the requirements of the TSC.

The checklist's primary role is identifying gaps early in your preparation process. Rather than discovering missing controls or inadequate documentation during the audit itself, a comprehensive checklist helps you spot and address issues months in advance.

More than just a to-do list, an effective SOC 2 checklist provides structure to what can otherwise feel like an overwhelming process. It breaks down complex requirements into manageable tasks and ensures you don't overlook critical elements that could derail your audit. 

This systematic approach to readiness ensures you enter the audit process with confidence and all necessary preparations complete.

Why should you use a SOC 2 compliance checklist?

A structured approach to SOC 2 compliance is essential for organizations that want to avoid costly delays, failed audits, and the stress of last-minute scrambling to meet requirements. A checklist offers several key benefits:

1. Covers all control areas systematically

SOC 2 requirements span multiple domains, from access controls and encryption to incident response and vendor management. A checklist ensures you address every required area systematically, rather than focusing on obvious security measures while overlooking less visible but equally important controls.

2. Promotes consistent compliance across teams

With a checklist, your entire team works from the same playbook. This consistency is needed when multiple departments need to contribute to compliance efforts, ensuring everyone understands their responsibilities and deadlines.

3. Reduces audit preparation time and stress

Organizations that use comprehensive checklists often experience less stress during audit preparation. Instead of wondering what you might have missed, you can confidently move through each requirement knowing you've covered all the bases.

4. Provides clear accountability and progress tracking

A good checklist assigns specific responsibilities to team members and includes deadlines for completion. This visibility helps managers track progress and intervene early when tasks fall behind schedule.

5. Creates a foundation for ongoing compliance

The checklist you develop for your initial audit becomes the foundation for maintaining ongoing compliance. Annual audits become much more manageable when you have established processes and documentation already in place.

What should be included in a SOC 2 compliance checklist?

An effective SOC 2 compliance checklist must be comprehensive enough to cover all audit requirements while remaining practical enough for your team to actually use. Here are the essential components:

Control policies and procedures documentation

Your checklist should include detailed requirements for documenting all security policies, from access control procedures to data classification standards. This includes not just having policies, but ensuring they're current, approved, and actually followed by your organization.

Employee training records

Document all security awareness training, role-specific training for employees with security responsibilities, and records showing that employees understand and acknowledge their security obligations. Your checklist should specify what training is required and how often it must be completed.

System configurations and access controls

Include detailed verification of system security configurations, user access reviews, privileged access management, and multi-factor authentication implementation. Your checklist should specify exactly what needs to be configured and how to document compliance.

Incident response plans

Ensure your incident response procedures are documented, tested, and include clear escalation paths. Your checklist should verify that incident response plans cover detection, analysis, containment, eradication, and recovery phases.

Monitoring and logging mechanisms

Verify that appropriate logging is enabled across all systems, logs are regularly reviewed, and monitoring systems are configured to detect security events. Include requirements for log retention, analysis procedures, and alerting mechanisms.

Vendor management processes

Document your procedures for evaluating, monitoring, and managing third-party vendors who have access to your systems or data. Include due diligence requirements, contract security provisions, and ongoing vendor risk assessments.

SOC 2 requirements checklist template

Use this step-by-step template to guide your SOC 2 compliance preparation. Each item should be verified and documented before your audit begins.

Challenges of implementing SOC 2 compliance

Even with a solid checklist, organizations frequently encounter obstacles that can complicate their SOC 2 compliance efforts. Understanding these challenges helps you prepare for and overcome them.

Resource constraints

SOC 2 compliance requires significant time investment from multiple team members, often while they're still handling their regular responsibilities. Many organizations underestimate the effort required, leading to rushed preparation and suboptimal outcomes.

Solution: Start your preparation at least six months before your desired audit date to mitigate time pressure and resource conflicts. Assign dedicated resources to compliance activities and consider bringing in temporary help or consultants for specialized tasks.

Updating policies with evolving standards

The cybersecurity landscape evolves rapidly, and SOC 2 requirements continue to develop. Policies that were adequate for last year's audit may need updates to address new threats or regulatory changes.

Solution: Establish a regular policy review cycle and assign ownership for monitoring changes in SOC 2 requirements. Use compliance platforms that automatically update requirements and flag needed policy changes.

Managing complex systems across multiple locations

Organizations with distributed teams, multiple office locations, or complex cloud infrastructures face additional challenges in ensuring consistent control implementation across all environments.

Solution: Standardize control implementation across all locations and use centralized management tools where possible. Document location-specific variations and ensure they meet the same security objectives.

Ensuring employee awareness and training

Your controls are only as strong as the employees who implement them daily. Ensuring all team members understand their security responsibilities and follow established procedures requires ongoing attention.

Solution: Implement regular security awareness training, role-specific training for employees with security responsibilities, and clear accountability measures. Use automated training platforms like Rippling’s learning management software to track completion and comprehension.

Coordinating across multiple departments

SOC 2 compliance touches every department in your organization, from IT and security to HR and operations. Coordinating efforts across these teams while maintaining normal business operations can be challenging.

Solution: Establish a cross-functional compliance team with clear roles and responsibilities. Hold regular coordination meetings and use project management tools to track progress across departments.

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Best practices for a successful SOC 2 compliance audit

Following these proven best practices significantly improves your chances of a smooth audit process and successful outcome.

1. Start preparations early

Begin your SOC 2 preparation at least six months before your target audit date. Early preparation allows time to identify and address gaps, implement new controls, and establish the operating history required for Type 2 audits.

2. Conduct internal pre-assessments regularly

Perform quarterly internal assessments using your compliance checklist to identify gaps before they become audit findings. Regular self-assessments help maintain compliance throughout the year rather than scrambling before audits.

3. Maintain detailed documentation continuously

Don't wait until audit preparation to start documenting your controls. Maintain comprehensive, up-to-date documentation throughout the year, including evidence of control operation, testing results, and any remediation activities.

4. Train staff on control responsibilities

Ensure all employees understand their role in maintaining SOC 2 compliance. Provide role-specific training for employees with security responsibilities and regular awareness training for all staff members.

5. Engage experienced auditors or consultants when needed

Work with auditors who have extensive SOC 2 experience in your industry. Their expertise can help you avoid common pitfalls and ensure your controls meet current standards and best practices.

6. Use automated tools to streamline compliance management

Leverage technology platforms that automate control monitoring, evidence collection, and reporting. Automated tools like Rippling reduce manual effort, improve accuracy, and provide real-time visibility into your compliance status.

How Rippling can support your SOC 2 compliance efforts

Rippling simplifies SOC 2 compliance by automating many of the manual processes that typically consume significant time and resources during audit preparation. 

Managing employee devices, permissions, and security policies becomes straightforward with Rippling's unified platform. When employees join, change roles, or leave your organization, access permissions update automatically across all connected systems, eliminating the manual processes that often create compliance gaps.

Rippling also helps with automating control tracking, policy enforcement, and audit preparation through comprehensive logging and reporting capabilities. The system maintains detailed records of all access changes, device configurations, and security policy enforcement, providing auditors with the evidence they need to verify control effectiveness.

The platform's real-time monitoring and automated reporting capabilities mean you always have current visibility into your compliance status. Instead of scrambling to gather evidence during audit preparation, you can generate comprehensive reports showing control operation throughout your audit period with just a few clicks.

SOC 2 compliance FAQs

What are the criteria for SOC 2?

SOC 2 is based on five Trust Services Criteria: security, availability, processing integrity, confidentiality, and privacy. Organizations choose which criteria to include based on their services and client requirements, though Security is always required.

How to check if a company is SOC 2 compliant?

You can request a copy of a company's SOC 2 audit report directly from them. Most legitimate SOC 2 compliant organizations will readily provide their reports to prospective clients under a non-disclosure agreement. Be wary of companies that refuse to share their reports or only provide vague compliance statements.

What are the SOC 2 compliance components?

SOC 2 compliance involves documented policies, implemented security controls, regular testing, employee training, vendor management, and incident response processes. Together, these components ensure your organization protects customer data and maintains reliable, secure systems.

How often are SOC 2 reports required?

SOC 2 reports are typically required annually to maintain current compliance status. Some organizations may need to update their reports more frequently if they experience significant business changes, but annual audits are the standard expectation from clients and stakeholders.