Avoiding Common SOC 2 Pitfalls

Organizations that handle sensitive customer data achieve SOC 2 compliance to demonstrate their security and instill trust among their customer base. During the process, many companies face challenges that ultimately lead to delays, compliance gaps or even failed audits. Understanding these common pitfalls and how to avoid them can help organizations streamline compliance and promote better outcomes.

1. Inadequate Scoping

The Challenge: A poorly defined SOC 2 audit scope can either overcomplicate the process by including too many systems or leave compliance gaps by excluding critical components.

The Solution: Clearly define the audit scope by identifying which services, systems, and Trust Service Criteria (TSC) are most relevant to your customers and business needs. Security is mandatory, but additional TSCs—such as Confidentiality, Availability, Processing Integrity, or Privacy—should be selected based on contractual obligations and industry requirements. Reviewing service agreements can help clarify these commitments.

2. Insufficient Documentation

The Challenge: SOC 2 compliance requires thorough documentation of security policies, procedures and controls. Many organizations struggle to maintain up-to-date and detailed documentation.

The Solution: Establish a structured documentation process that ensures all policies and procedures are well-documented, regularly updated, and easily accessible. This documentation should clearly demonstrate how controls are implemented, monitored and maintained.

3. Neglecting Employee Training

The Challenge: Even with strong policies in place, employees who are unaware of security protocols can inadvertently create compliance risks.

The Solution: Conduct regular security awareness training that emphasizes employees’ roles in data protection and compliance. Training should cover key policies, security best practices and SOC 2 requirements for company-wide adherence.

4. Relying on Generic, Templated Policies

The Challenge: Some organizations use off-the-shelf policies from compliance platforms that do not align with their actual security practices. This can create a false sense of compliance and lead to audit failures.

The Solution: Customize security policies to reflect actual risks, processes and technology infrastructure. Work with experienced auditors who understand your business and can make sure controls are both compliant and effective.

5. Weak Access Controls

The Challenge: Without proper access controls, unauthorized users may gain access to sensitive data, increasing security risks and compliance violations.

The Solution: Implement strong access controls based on the principle of least privilege—employees should only have access to the data and systems necessary for their roles. Regularly review and update access permissions, especially when employees change roles or leave the company.

6. Inadequate Monitoring and Logging

The Challenge: Failing to monitor system activity can lead to undetected security incidents and compliance issues.

The Solution: Deploy comprehensive monitoring tools that track network activity, detect unusual behavior and log critical events. Securely store and review logs regularly to identify potential security threats before they escalate.

7. Skipping Regular Risk Assessments

The Challenge: Some organizations conduct a risk assessment once and never update it, failing to account for emerging threats.

The Solution: Perform periodic regular risk assessments to identify vulnerabilities and adjust security controls accordingly. Staying proactive in identifying risks helps prevent security gaps and encourages continuous compliance.

8. Poor Change Management Practices

The Challenge: Uncontrolled or undocumented system changes can create vulnerabilities and compliance issues.

The Solution: Implement a formal change management process that includes documentation, approvals, pre-implementation testing, and post-change monitoring to ensure security and compliance.

9. Overlooking Vendor Compliance

The Challenge: Many companies rely on third-party vendors for critical services, but if those vendors do not adhere to SOC 2 standards, they can compromise compliance.

The Solution: Conduct thorough due diligence when selecting vendors and establish a vendor management program that includes regular compliance reviews and audits of third-party service providers.

10. Ignoring Incident Response and Recovery Planning

The Challenge: Without a defined incident response and recovery plan, organizations may struggle to address security breaches effectively.

The Solution: Develop and test an incident response plan that outlines how to detect, contain and recover from security incidents. Clearly define roles, responsibilities, communication protocols and post-incident review processes to strengthen resilience.

Avoiding these common SOC 2 pitfalls requires proactive planning and continuous monitoring. By taking these steps, organizations can effectively maintain SOC 2 compliance. Prioritizing these action items can help businesses that handle sensitive customer data strengthen their overall security posture and build trust among customers. Learn more by talking to our team today.