SOC 2 Audit Checklist
Preparing for a SOC 2 audit can feel overwhelming, especially without a clear process. This checklist outlines each step required to support a successful audit, from pre-assessment through documentation and evidence collection.
Ideal for MSPs and MSSPs managing client compliance, this guide provides a structured, repeatable approach to audit readiness.
Download the Full SOC 2 Audit Checklist (PDF)
What Is a SOC 2 Audit?
A SOC 2 audit is a third-party assessment performed by a licensed CPA firm. It verifies how well your organization aligns with the AICPA Trust Services Criteria (TSC), including:
- Security (required)
- Availability
- Processing Integrity
- Confidentiality
- Privacy
Audit types:
- Type I – Point-in-time evaluation of control design
- Type II – Operational effectiveness of controls over 3–12 months
The final output is an attestation report, a key document used in client security reviews and vendor assessments.
SOC 2 Audit Preparation Checklist
Use the steps below to prepare for any SOC 2 audit:
Define Scope
- Identify which systems, processes, and services are in scope
- Select the applicable Trust Services Criteria
- Choose audit type (Type I or Type II)
Conduct a Readiness Assessment
- Evaluate current controls and documentation
- Identify gaps
- Prioritize remediation tasks
Map Controls to Criteria
- Align security policies and operational procedures with SOC 2 requirements
- Document which controls support which TSC
- Assign control owners
Implement Policies and Procedures
- Formalize core policies: access control, incident response, change management, data classification
- Ensure they’re documented, enforced, and understood
Collect and Organize Evidence
- Gather logs, reports, approvals, training records, incident response docs
- Link evidence directly to relevant controls
Conduct Internal Review
- Simulate auditor requests and walk through your evidence package
- Validate policy enforcement and control functionality
Engage an Auditor
- Select a qualified SOC 2 CPA firm
- Share readiness findings and documentation
- Schedule audit timelines and fieldwork dates
Maintain Ongoing Readiness
- Monitor key systems for control drift or policy expiration
- Keep documentation and evidence continuously updated
- Prepare for annual Type II renewals or client re-evaluation
Automate and Streamline SOC 2 Audit Prep with Cynomi
Cynomi removes the guesswork and manual labor from SOC 2 readiness. For MSPs and MSSPs, it means faster onboarding, clearer visibility, and smoother audits.
Key Automation Features:
- Automated Readiness Assessments
Instantly detect gaps against SOC 2 controls - Policy and Control Generation
Auto-generate audit-ready policies mapped to selected criteria - Evidence Collection Workflows
Link data from systems like AWS, GSuite, and Okta directly to relevant controls - Client Dashboards
Show real-time audit readiness and control status - Standardized Audit Output
Export auditor-facing documentation for easier collaboration
Get the Full SOC 2 Audit Checklist
Want the full version of this checklist to guide your internal or client-facing audit prep?
Download the editable PDF to:
- Track readiness tasks
- Assign responsibilities
- Store control notes and evidence links
- Use it across clients and audit cycles
- Use it across clients and audit cycles
Download the Full SOC 2 Audit Checklist (PDF)
SOC 2 Audit Checklist FAQ
Your controls, policies, system description, and operational evidence are reviewed against the selected Trust Services Criteria.
Typically 4–8 weeks for Type I prep and 3–6 months for Type II, including audit window time.
Access logs, policy acknowledgment records, backup reports, incident response logs, employee training proof, and system configurations.
Yes, with platforms like Cynomi, which automate assessments, policy generation, task assignment, and evidence tracking.
Start with a readiness assessment. It helps identify gaps and build a roadmap so the first audit is smooth, successful, and stress-free.