Key SOC 2 Controls to Know

If you’re preparing for SOC 2 compliance, one of the first questions that will come up is:

What controls do we actually need to implement?

Unlike some frameworks, SOC 2 does not offer a rigid checklist of required security controls. Instead, it gives organizations the flexibility to design and operate controls that align with the Trust Services Criteria—Security, Availability, Processing Integrity, Confidentiality, and Privacy—and fit the realities of their business.

This flexibility is powerful, but it can also be a source of confusion. In this guide, we’ll explore the core areas where SOC 2 auditors typically expect to see strong and effective controls, and how implementing them helps your business mitigate risks, protect sensitive data, and build trust with customers.

Understanding SOC 2 Control Expectations

SOC 2 controls generally align with two key elements:

• The five Trust Services Criteria (Security, Availability, Processing Integrity, Confidentiality, and Privacy)

• The underlying Common Criteria, which cover governance, management processes, risk management, monitoring, and related practices

Rather than approaching SOC 2 as a simple checkbox exercise, think of it as an opportunity to build a robust data security and compliance program—one that benefits both your business and your customers.

Key Control Areas in SOC 2

Access Management

Effective access management is a cornerstone of SOC 2. Organizations must ensure that users have only the permissions necessary to perform their roles. Multi-factor authentication (MFA) is a widely accepted best practice. It’s also crucial to revoke access promptly when employees leave or transition to new roles. Auditors will look for consistent processes that demonstrate proactive management of user access, helping reduce the risk of unauthorized data processing or exposure of personally identifiable information (PII).

Security Monitoring

Ongoing monitoring of your systems is essential to detect data breaches, security threats, or anomalies. This often involves logging key events, setting up real-time alerts, and maintaining a clear incident response workflow. Demonstrating that your team actively monitors for unusual activity—and knows how to respond—is a key focus during the SOC 2 audit process.

Change Management

Change introduces risk. Whether you're updating infrastructure, deploying new applications, or modifying management processes, it’s critical to manage change thoughtfully. Auditors expect to see documented change management practices, including thorough testing, peer reviews, and clear approval steps. The goal is to reduce the risk of introducing new vulnerabilities.

Data Backup and Recovery

Reliable backup and recovery processes are non-negotiable. Protecting customer data—and ensuring it can be restored in the event of an outage or breach—is central to SOC 2. Your organization should perform regular backups, test recovery procedures, and secure backup data appropriately. Auditors will look for evidence that these practices are well-established and consistently maintained, especially when handling sensitive data and personal information.

Incident Response

No system is immune to incidents. SOC 2 requires that your organization be ready to respond effectively if something goes wrong. This involves having a documented incident response plan, training relevant staff, and conducting periodic testing. Auditors will evaluate both the existence of your plan and your readiness to implement it, particularly in scenarios involving personally identifiable or sensitive data.

Vendor Management

Third-party services are often essential, but they also introduce risk. SOC 2 requires organizations to carefully assess vendor risk, perform thorough due diligence, and closely monitor critical suppliers. Demonstrating that you actively manage third-party relationships and hold them to your data security expectations is an integral part of compliance.

System Configuration and Hardening

Minimizing system vulnerabilities starts with secure configurations. This includes using industry-standard baseline configurations, regularly applying patches and updates, and disabling unnecessary services and ports. Auditors will look for evidence that your systems are hardened against known threats, reducing the likelihood of data breaches or compromised security controls.

Data Privacy and Confidentiality

If your organization processes personally identifiable information (PII) or other types of personal data, privacy and confidentiality controls are critical. These controls should align with both SOC 2 expectations and relevant privacy regulations (such as GDPR). Auditors will expect to see documented policies and practical safeguards in place to protect sensitive data and ensure the ethical processing of data.

Customizing Controls for Your Organization

One of SOC 2’s strengths is its flexibility. You’re not locked into a one-size-fits-all set of controls. Instead, you can tailor your controls to reflect:

• Your organization’s risk profile

• The systems and technologies you operate (including emerging technologies such as Artificial Intelligence (AI))

• The types of data you process

• Your customers’ expectations

For example, a healthcare SaaS company may place extra emphasis on privacy and confidentiality, while an AI/ML infrastructure provider may prioritize processing integrity and availability.

Building the Right SOC 2 Controls for Your Business

By designing controls that fit your unique environment, you can not only meet SOC 2 requirements but also build a data security and compliance program that supports your long-term business goals. A thoughtful, well-executed approach to SOC 2 controls helps you mitigate risks, protect sensitive data, and build trust with customers and partners. In doing so, your organization strengthens its reputation and competitive edge in today’s market of service organizations.