Background: In preparation for its SOC 1 review, this CTS Impact client needed to develop its approach and prepare for its subsequent review.

CTS Impact Solution: Led by a CTS Impact Project Manager with deep financial services experience, the following services were provided. As a result, this client received a clean Type 2 report.

  • Perform risk assessment to identify key controls
  • Documentation of key controls and underlying processes
  • Pre-audit test plan development
  • Perform testing to identify areas of exposure
  • Remediation of control gaps
  • Liaison to Big 4 external auditors