SOC 2 Audit Checklist: Everything You Need to Pass the First Time
Introduction: Don’t Fear the Audit
Getting ready for your first SOC 2 audit can feel overwhelming. But here’s the truth: it’s not about perfection. It’s about preparation. With the right checklist and expert guidance, passing your first SOC 2 Type I or Type II audit is completely achievable—even for early-stage SaaS startups.
This blog walks you through the essential steps to prepare for your SOC 2 audit and avoid the common mistakes that sink startups during the process.
Pre-Audit Stage: Laying the Foundation
Understand the Trust Services Criteria (TSC)
Security (required)
Availability
Confidentiality
Processing Integrity
Privacy
Choose the criteria that align with your customers’ expectations and your industry.
Define Your Audit Scope
Which systems and processes are in-scope?
Who are the responsible personnel?
What data is being processed and protected?
Choose the Right Audit Firm
Look for experience with SaaS companies
Ask about typical audit timelines and deliverables
Bonus: Use a firm familiar with your compliance platform (e.g., Drata, Vanta, Secureframe)
Select a Compliance Platform or Partner
Use tools like Drata, Vanta, or ESM Global Consulting to automate prep and tracking.
Perform a Readiness Assessment
Identify gaps in controls, policies, and documentation
ESM Global Consulting provides this as a standard part of our SOC 2 service
Audit Prep Stage: Getting Everything in Place
Build and Formalize Your Security Policies
Information Security Policy
Access Control Policy
Incident Response Plan
Data Retention Policy
Risk Assessment & Management Policy
Train Your Team
Conduct security awareness training
Ensure employees acknowledge policies
Implement Technical Controls
Multi-factor authentication (MFA)
Logging & monitoring
Access controls
Vulnerability management
Data encryption in transit and at rest
Document Your Controls and Processes
Your auditor will want evidence: screenshots, logs, onboarding/offboarding checklists, etc.
Organize them by control ID or requirement area
Establish Continuous Monitoring
Use automation tools or service providers to monitor systems and generate audit logs
Audit Execution Stage: What to Expect
Auditor Walkthrough
Be prepared to explain systems and processes
Appoint a main point of contact
Evidence Review
Submit pre-collected evidence
Provide any missing data quickly
Remediation (if needed)
Address minor findings on the fly
Document fixes for follow-up
Audit Report Delivery
Type I: Point-in-time report
Type II: 3-12 month operating effectiveness review
Review carefully for accuracy before sharing with clients
Post-Audit: Keep the Momentum Going
Share Your Report with Prospects
Use it as a sales asset
Host it securely behind an NDA or gated download
Continue Monitoring & Improve
SOC 2 is not one-and-done
ESM Global offers continuous compliance support to help you stay ready year-round
Avoid These SOC 2 Rookie Mistakes
Starting too late
Underestimating the documentation workload
Not involving engineering and HR early enough
Skipping policy enforcement
Choosing the wrong auditor or tools
Final Thoughts
Your first SOC 2 audit is your chance to build trust with your customers, investors, and partners. With a solid checklist, smart tools, and guidance from experts like ESM Global Consulting, you can pass with confidence—and use your report as a growth lever.
Need a readiness assessment or help navigating your audit? Book a free consultation with ESM's compliance specialists and start your SOC 2 journey right.