How to Prepare for a SOC 2 Audit with a Limited Budget

At ESKA Security, we’ve guided dozens of startups and SMBs through the SOC 2 preparation process — many with limited security staff, tight timelines, and constrained budgets. This article distills the most effective strategies we’ve used with clients just like you, helping them achieve compliance without overinvesting too early.

What Is SOC 2 and Why It Matters for Your Business

SOC 2 (System and Organization Controls 2) is an independent audit report that evaluates how well your company protects customer data based on five Trust Services Criteria:

• Security (required)

• Availability

• Confidentiality

• Processing Integrity

• Privacy

SOC 2 is not a certification, but an attestation issued by a licensed CPA firm after auditing your controls and procedures. It’s widely recognized in the US, Canada, and international markets - especially in the B2B tech and SaaS sectors.

Why Do Companies Need SOC 2?

For startups and small businesses, SOC 2 is often a requirement to grow. Here's why companies invest in it:

To win enterprise clients - Many corporations require a SOC 2 report before signing contracts with vendors that handle sensitive data.

To build trust - A SOC 2 report shows that your company takes data security seriously, which can differentiate you from competitors.

To enter regulated or high-trust industries - If you're selling to finance, healthcare, legal, or government sectors, SOC 2 is often mandatory.

To prepare for scale - Having controls and policies in place early makes scaling operations and people much easier later.

SOC 2 has become a standard requirement for B2B SaaS and cloud-based service providers in the US, Canada, and Europe.

But preparing for SOC 2 can be challenging, especially without a dedicated compliance team or big security budget.

That’s why our team at ESKA Security created this guide — to help you build a roadmap to SOC 2 readiness that’s lean, effective, and startup-friendly.

1. Understand What SOC 2 Actually Requires

SOC 2 isn’t about checking boxes — it’s about demonstrating that your company follows sound security and operational practices.

SOC 2 Type I evaluates your controls at a specific point in time. SOC 2 Type II evaluates how well they work over 3–12 months.

For startups or first-timers, Type I is usually the smart place to start. Focus on the Security criterion (required) and build toward others over time.

2. Perform a Gap Assessment with What You Have

You don’t need an expensive platform to start. A simple gap assessment — even in a spreadsheet — can give you a clear view of where you stand.

Key areas to assess:

• Access management and MFA

• Logging and monitoring

• Incident response capabilities

• Vendor risk procedures

• Security policies and documentation

We recommend prioritizing high-impact, low-cost areas first (see below) and building from there.

3. Use Open-Source or Affordable Tools

When budget matters, the right stack makes a difference. To meet SOC 2 requirements, you don’t need to invest in expensive enterprise-grade tools right away. Many controls can be implemented using open-source or budget-conscious technologies. For example, to meet logging and monitoring needs, you can deploy a system that collects event logs, user activity, access events, and alerts on suspicious behavior. For access control, choose tools that support multi-factor authentication and centralized user account management.

Your documentation, internal policies, and procedures can be effectively managed using collaborative cloud platforms. Data backup and recovery can be handled using built-in mechanisms available in most cloud environments or operating systems. What matters most is not just the technology you use, but how well it’s configured to match your size, risk level, and business operations. Just make sure to clearly document how these tools support your SOC 2 controls.

4. Use Policy Templates — But Customize Them

SOC 2 requires formalized policies. The good news? You don’t need to start from zero.

You can begin with free templates, but we always remind clients — templates are only a starting point. You must adapt them to reflect how your team actually works.

Must-have policies include:

• Information Security

• Access Control

• Incident Response

• Acceptable Use

• Change Management

Audit firms will check that your policies match your real-world processes.

5. Prioritize Easy Wins First

Not all security controls require significant investment. We recommend starting with these high-impact basics:

• Enforce MFA for all critical systems

• Eliminate shared accounts

• Regularly apply patches

• Automate backups

• Define clear roles and permissions

These steps form the foundation of SOC 2 readiness — and are often easy to implement with minimal tools.

5.1. Include a Basic Penetration Test in Your Security Efforts

While not strictly required for SOC 2, penetration testing has become an expected part of a robust security program - especially for cloud-native platforms, SaaS apps, and APIs.

A penetration test helps your company:

• Uncover real-world vulnerabilities attackers could exploit

• Validate that your controls are working as intended

• Build trust with enterprise clients and auditors

• Show maturity in your risk management process

Include the pentest report and remediation actions in your SOC 2 audit evidence — it reinforces your commitment to secure development.

Schedule a free consultation to determine if your current environment is ready for testing.

6. Assign Responsibility Internally

Even without a dedicated compliance team, you can move forward. Most of our clients assign a DevOps, engineering lead, or CTO to coordinate SOC 2 preparation.

Responsibilities typically include:

• Document and policy management

• Gathering evidence (screenshots, logs)

• Communicating with the auditor

• Ensuring controls are in place and functional

But what if your internal team doesn’t have compliance experience? That’s where we come in.

7. Use a Flexible vCISO Service to Stay on Budget

For clients who need expert guidance without a full-time hire, we offer a vCISO (Virtual CISO) service — purpose-built for startups and growing companies.

Here’s how it works:

• You pay only for the expert hours you useBudget flexibility means you can move fast or pace your preparation over several months.

• Progress on your termsSpread your SOC 2 prep over time. There’s no need to commit a large budget upfront — plan your timeline and costs around your growth.

• Real support from real expertsOur vCISOs assist with gap assessments, risk analysis, policy creation, control design, evidence collection, and audit readiness.

With ESKA Security, you don’t just get documents — you get a partner who’s helped dozens of companies achieve successful SOC 2 outcomes.

Contact us to learn how we can help you build a compliance roadmap that works for your business and your budget.

8. Start Collecting Evidence Early

Don’t wait for audit week to begin gathering artifacts. Start collecting now:

• Screenshot control configurations (e.g. MFA, backup schedules)

• Export logs showing access reviews, patching events

• Record training completion or policy acknowledgments

Organize this evidence by control type to speed up the audit process later.

9. Choose the Right Auditor for Your Stage

All auditors are not created equal. If you’re a startup or small team, you’ll benefit from an auditor who:

• Understands your business model

• Offers fixed, transparent pricing

• Provides support during the readiness phase

• Doesn’t push unnecessary scope

We maintain a shortlist of SOC 2 auditors trusted by early-stage companies — feel free to ask us for recommendations.

10. Take a Phased Approach to

SOC 2

One of the best ways to manage costs is to prepare in stages:

Phase 1 – Gap assessment

Phase 2 – Build Core Policies and Controls

Phase 3 – Collect Evidence

Phase 4 – Engage Auditor

Phase 5 – Ongoing improvements for Type II or renewals

This method allows you to show steady progress - even if you don’t have a big budget upfront.

The visual roadmap above illustrates the 5 essential phases most startups and SMBs follow to achieve SOC 2 compliance:

SOC 2 Compliance Roadmap

This roadmap provides a clear, scalable structure for companies preparing on a limited budget - making it easier to phase efforts, control costs, and demonstrate progress to clients or investors.

11. Communicate Your Compliance Journey

Even if you haven’t completed the audit, being transparent helps build customer trust. Here’s how to position your progress:

• Add a “SOC 2 in progress” badge to your site

• Write a blog post or LinkedIn update about your efforts

• Share your roadmap with prospective enterprise clients

Buyers don’t expect perfection - but they respect visibility.

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SOC 2 is Achievable — Even on a Startup Budget

At ESKA Security, we’ve helped tech companies, SaaS providers, and fast-moving teams achieve SOC 2 compliance without overcomplicating or overspending.

With the right priorities, expert guidance, and flexible planning, your team can meet today’s security expectations - while preparing for tomorrow’s growth.