Mastering the SOC 2 Audit: Hard-Earned Lessons from a Compliance Expert

In 2025, SOC 2 is no longer the badge of excellence it once was — it’s the bare minimum. A staggering 92% of organizations now conduct at least two audits annually, and 58% go through four or more. It reflects how critical compliance has become to win customer trust and stay in business.

Why does this matter? Because more companies are under pressure to demonstrate not just if they’re secure, but how well their controls work in real environments. That’s where a high-quality SOC 2 audit shines. In fact, 70% of organizations said audit report quality is “extremely important”, and they’re looking closely at two things: how many controls were tested and how detailed the final report is.

To help you navigate this evolving landscape, we sat down with Ishaan Gulati, Infosec Analyst at Scrut Automation, to get a behind-the-scenes look at what makes a SOC 2 audit successful. Ishaan has worked closely with both internal teams and external auditors, helping companies prep for and pass their audits with confidence.

In this blog, we’ll walk you through practical, no-nonsense steps to tackle your next SOC 2 audit, with insights straight from someone who’s seen it all.

Understanding SOC 2: The basics

Before we dive into audit prep, let’s ground ourselves in what SOC 2 really means, and why it’s become table stakes for any company handling customer data.

SOC 2, short for System and Organization Controls 2, is a compliance standard developed by the American Institute of Certified Public Accountants (AICPA). It’s designed to evaluate how well a company protects sensitive data, particularly in cloud-native environments.

What makes SOC 2 unique is that it isn’t about checking off a fixed list of controls. Instead, it’s principle-driven. Auditors assess whether your internal processes align with one or more of the five Trust Services Criteria (TSC):

• Security (mandatory) – Are your systems protected against unauthorized access? Security, also known as common criteria, is the foundational pillar, covering things like firewalls, access controls, and intrusion detection.
  
• Availability – Can your systems be accessed when needed? This focuses on uptime, performance monitoring, and disaster recovery planning.
  
• Processing integrity – Are your systems processing data accurately, completely, and in a timely manner? Think: quality checks, validation, and change management.
  
• Confidentiality – Is sensitive business information, such as source code or financial records, being protected from leaks and misuse?
  
• Privacy – Are you collecting, using, retaining, and disposing of personal data in accordance with your own policies and privacy laws like GDPR?

Depending on your industry and use case, your SOC 2 audit might focus on just Security, or it might span all five criteria. For example, a SaaS platform that stores customer billing data might include Security, Availability, and Confidentiality in scope.

SOC 2 also comes in two types:

• Type I audits assess whether your controls are properly designed at any single point in time.
  
• Type II audits evaluate whether those controls actually work over an extended monitoring period (usually 3 to 12 months).

A Type I audit shows intent. A Type II shows consistency. If you’re serious about earning customer trust, Type II is the gold standard.

And it’s not just about pleasing auditors. SOC 2 compliance often opens doors to new deals, especially in industries like finance and healthcare where vendor security assessments are non-negotiable.

But Ishaan adds:

“A lot of companies start the SOC 2 journey thinking it’s about getting the report. What they realize midway is that it forces them to clean up their internal processes — which is a good thing.”

So, while the report might be the goal, the real value lies in the operational discipline that SOC 2 demands.

Laying the groundwork: Preparation steps

Ask any internal auditor and they’ll tell you — a successful SOC 2 audit starts long before an auditor even steps in. It’s all about groundwork. From scoping the right systems to aligning internal teams, early preparation makes the difference between a smooth audit and a stressful one.

As Ishaan points out:

“Most delays or roadblocks happen because people underestimate the prep work. It’s not just about policies on paper — it’s about operational readiness.”

Here are some key steps to set your organization up for success:

1. Treat it like a project — not a paperwork exercise

A SOC 2 audit spans multiple departments, including security, engineering, HR, legal, IT. That’s why you need a central owner, ideally someone with a project management mindset who can coordinate timelines, gather evidence, and keep things moving.

This doesn’t have to be a full-time compliance head. Even a tech-savvy operations or security team member can lead, as long as they have the bandwidth and authority to cut across silos.

2. Run a readiness assessment

Think of this as a mock audit. Before the real one begins, you’ll want to assess where you stand: which controls are already in place, what’s missing, and how mature your processes are.

According to Ishaan:

“We always recommend doing a readiness assessment — especially for first-time audits. It helps identify gaps early, so there are no surprises mid-audit.”

Some companies choose to do this internally, but many partner with a compliance automation platform (like Scrut) or a consulting firm to make it more structured. The output? A clear action plan that tells you exactly what to fix before your auditor comes knocking.

3. Get your documentation in order

SOC 2 isn’t just about having controls. It’s about being able to prove they exist and work. That means policies, procedures, incident logs, training records, access reviews — the works.

Start by documenting your key processes around:

• Access control and user provisioning
• Incident response
• Risk assessments
• Vendor management
• Security awareness training
  

As Ishaan notes, 

“Poor documentation is one of the most common reasons audits get delayed. You might be doing the right things — but if you can’t show them, it won’t count.”

4. Build a culture of evidence

SOC 2 Type II audits look at your controls over several months; so you’ll need consistent evidence to show they were followed throughout the audit period.

The simplest way to do this? Automate evidence collection as much as possible. Use tools that integrate and automates SOC 2 with your existing systems (Jira, AWS, Okta, etc.) to pull logs and screenshots automatically.

If you’re doing it manually, set up a cadence — monthly access reviews, quarterly risk assessments, etc. That way, you’re not scrambling to find things at the eleventh hour.

Defining the scope: tailoring the audit to your organization

One of the biggest early mistakes companies make is trying to include everything in their SOC 2 scope — all systems, all teams, all trust service criteria. It’s well-intentioned, but it can quickly turn a manageable audit into an exhausting one.

Scoping is where you draw the boundaries: figuring out what’s in, what’s out, and why. It’s not about hiding things — it’s about focusing the audit on the parts of your business that actually process or impact customer data.

As Ishaan puts it:

“Scoping needs to be tight. I’ve seen companies include way too much in their first audit — things that don’t even touch customer data — and then they end up managing controls they don’t really need. It creates an unnecessary burden.”

Here’s how to get scoping right:

1. Start with customer-facing systems

Ask: Which systems store, process, or transmit customer data? That’s your core audit territory.

Typically, these include:

• Cloud infrastructure (e.g., AWS, Azure, GCP)
• Production databases and applications
• CI/CD pipelines
• Authentication systems

What doesn’t need to be in scope? Internal dev tools, marketing platforms, or anything that has no bearing on customer data.

2. Pick the right trust service criteria (TSC)

Remember the five TSCs we covered earlier? Security is non-negotiable — it’s included in every SOC 2 audit. The rest are optional, depending on your industry and customer expectations.

Here’s a quick rule of thumb:

• Add Availability if uptime and performance matter to your clients (e.g., SaaS platforms)
  
• Add Confidentiality if you handle sensitive business data (e.g., design files, contracts)
  
• Add Privacy if you process PII, especially in regulated sectors
  
• Add Processing Integrity if data accuracy and completeness are part of your service guarantee
  

“We often see early-stage companies add everything in scope because they don’t want to miss anything. But unless there’s a clear customer or regulatory driver, focus on what’s critical,” says Ishaan.

3. Consider legal and geographical boundaries

If you operate in multiple regions or legal entities, clarify which one(s) the audit will cover. For example, if your EU operations are handled by a separate legal entity or cloud setup, and you don’t serve EU customers yet, you might keep that out of scope for now.

Clarity here prevents confusion later, both during evidence collection and while writing your management assertion.

4. Write a scope statement

Once you’ve finalized the scope, document it clearly. A solid scope statement includes:

• Services being audited
• Physical and logical boundaries (e.g., environments, data centers)
• Time period (for Type II audits)
• Applicable trust service criteria
  

This helps both your team and your auditor stay aligned.

Scoping isn’t a one-and-done task — it should evolve as your product, customer base, or infrastructure grows. But getting it right upfront makes the rest of the audit far smoother.

Building a robust compliance framework

This is the part of the SOC 2 journey where many companies get caught off guard; not because they don’t care about security, but because they haven’t built a compliance process that’s auditable.

Let’s be clear: SOC 2 isn’t just about writing a few policies and calling it a day. It’s about proving that you actually follow those policies, and that those controls hold up over time.

As Ishaan observed:

“A lot of people focus on the technical controls — things like encryption, backups, monitoring. But the admin side is where teams tend to fall short.”

Technical controls usually get attention early. Your engineering team might already have MFA, logging, and backups in place. But what often slips through the cracks are the administrative and procedural controls — the ones that involve HR, legal, and people ops.

For example, onboarding and offboarding. You might have a checklist in theory, but unless it’s formalized — tracked in a system, backed by logs, and consistently enforced — it’s just tribal knowledge. That’s a problem in an audit.

As Ishaan put it:

“They might have offboarding as a checklist, but there’s no system of record. And when you ask for evidence, they scramble.”

To avoid that scramble, make sure:

• Your onboarding and offboarding processes are documented, tracked, and linked to access reviews
  
• Employees are completing security training and acknowledging policies — with evidence stored centrally
  
• There’s a clear risk assessment process in place, and it’s done periodically — not just once before the audit
  

Another overlooked area? Vendors.

“Third-party risk is often overlooked. Either there’s no inventory of vendors or no due diligence before onboarding them.”

If you’re using third-party tools (and let’s be real — everyone is), you need a vendor inventory, security evaluations, and signed Data Processing Agreements (DPAs) or Service Level Agreements (SLAs) where needed. Your auditor will ask.

And finally, evidence collection shouldn’t start the week before the auditor arrives.

“The worst thing you can do is treat evidence like a one-time task at the end of the audit. If you’re doing that, it’s already too late.”

Whether you’re tracking logs, access reviews, policy acknowledgments, or system configurations, collecting evidence as you go is not just smart — it’s survival.

The bottom line? A robust compliance framework isn’t about being perfect — it’s about being consistent and provable. The more you treat compliance as part of your operating rhythm, the easier your SOC 2 journey becomes.

Engaging with auditors: best practices

You’ve done the prep. Your controls are in place. Now it’s time to bring in the auditors, and this is where the dynamics really shift.

The audit isn’t just a review of your documentation, it’s an ongoing interaction. And how you engage with your auditor — how responsive, transparent, and organized you are — can make or break the entire experience.

Ishaan explained that delays often aren’t because of technical gaps, but because communication breaks down:

“Sometimes the audit gets stuck not because controls are missing — but because the team doesn’t know how to respond to the auditor, or they delay sending things.”

To avoid that, here’s what good auditor engagement looks like in practice:

1. Designate a single point of contact

Your internal teams are busy. So assign someone (typically the same person who led the prep) to manage communication with the auditor. This helps avoid confusion and keeps requests moving in a structured way.

2. Respond quickly and clearly

Audit requests are usually specific, such as screenshots, logs, or explanations of how a process works. But what slows things down is when teams send partial answers, outdated evidence, or no context at all.

If your auditor asks for a quarterly access review, send the record, the date, who approved it, and how the outcome was tracked. Don’t make them come back for every detail.

“Auditors aren’t trying to fail you. But if you’re slow or vague, they can’t close the loop — and that causes frustration on both sides.”

3. Be transparent about what’s not ready

Every company has gaps, and auditors know that. The key is to acknowledge them and show that you have a plan to fix them.

SOC 2 doesn’t require perfection. It expects intent, structure, and follow-through.

“If something isn’t implemented yet, just say it. Don’t try to make it look better than it is. A lot of trust gets built when you’re upfront.”

In fact, being honest about what’s still in progress, and showing that you’re tracking it as a risk or remediation task, often leaves a better impression than pretending everything is perfect.

4. Close the loop on follow-ups

Auditors will often ask for clarifications or additional artifacts during the process. Treat these as high-priority tasks, especially in a Type II audit where delays can affect the timeline.

Keep a shared tracker, set internal SLAs, and make sure every request is owned by someone on your side.

Working with auditors doesn’t have to feel adversarial. The best experiences happen when both sides act like partners, aligned on the goal of delivering a high-quality, defensible report.

Post-audit: leveraging the findings

Congratulations — the audit’s done, and you’ve got your SOC 2 report in hand. But now what?

Too often, companies treat this moment like the finish line. In reality, it’s just the start of something better: building trust, reducing risk, and turning your compliance posture into a business advantage.

“People think the audit ends when the report is delivered. But if you’re smart, that report becomes a blueprint for improvement.”

That’s how Ishaan framed it. The real value of a SOC 2 audit isn’t just the attestation; it’s what the process teaches you about your own systems, teams, and workflows.

Here’s how to make the most of that momentum:

1. Address any gaps right away

Even if you passed, there might be management comments in the report, including for the areas where controls exist but could be stronger. These aren’t formal “failures,” but they’re red flags you’ll want to fix before your next audit cycle.

Don’t wait for the next observation window to roll around. Tackle those gaps while the details are fresh.

2. Share your report (with context)

You don’t have to publish your full SOC 2 report publicly. But you can share a redacted version or an executive summary with prospects, partners, and even regulators.

Just make sure you also explain what it covers: which systems were in scope, what trust service criteria were included, and the time period for the report. That transparency builds trust, and cuts down on lengthy vendor security questionnaires.

3. Feed audit insights into your security roadmap

SOC 2 gives you a snapshot of how your controls worked over time. Use that insight to drive improvements.

Did access reviews always happen on time? Was your evidence collection smooth, or a fire drill? Which controls relied on manual effort that could be automated next time?

Audit fatigue is real — but so is audit maturity. Use the first cycle to tighten processes so that the next one feels lighter.

“SOC 2 is not a one-and-done. You’re expected to keep improving. The best teams use the report to strengthen their security programs — not just check the box again next year.”

That’s the mindset shift. A SOC 2 audit isn’t just about getting compliant — it’s about staying accountable and making security a habit, not a scramble.

From audit-ready to always ready

Going through a SOC 2 audit can feel like trying to hit a moving target: shifting scopes, evolving threats, scattered documentation, and the never-ending hunt for evidence.

But it doesn’t have to be this way.

Scrut helps you move beyond spreadsheets and shared drives by bringing compliance, risk, and security operations into one platform. From defining your audit scope and mapping controls to automating evidence collection and tracking auditor requests — Scrut gives your team the visibility and structure to stay ahead of the curve.

And because it’s built with real-world audit cycles in mind, it’s not just about passing the audit; it’s about embedding security into your day-to-day operations.

You’ll still need to put in the work, but Scrut makes sure that work pays off, audit after audit.