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SOC 2 Risk Assessment Template

Validate vendor SOC 2 claims against your actual needs with this assessment

  •  Trust Service Criteria mapping (CC, C, A, PI)
  • SOC 2 Report Review and scope analysis
  • Type I vs Type II audit age and coverage
  • Control Testing Period verification
  • Exception and Deficiency Identification
  • Subservice Organizations in scope
  • Audit Evidence and supplemental documentation
SOC 2 Risk Assessment Template
 

Vendors mention SOC 2 like it's checkbox. It's not. SOC 2 Type II comes in flavors (CC, C, A, PI). This assessment helps you verify vendor has right SOC 2 audit for your needs, review actual report, understand what's covered and what's not. Know whether their audit covers the scope you actually care about.

Vendors mention SOC 2 like it's checkbox. It's not. SOC 2 Type II comes in flavors (CC, C, A, PI). This assessment helps you verify vendor has right SOC 2 audit for your needs, review actual report, understand what's covered and what's not. Know whether their audit covers the scope you actually care about.

Why consistency matters

Vendor risk assessment is foundational to everything downstream: tiering decisions, monitoring priorities, remediation focus, board reporting. If your assessment is ad-hoc, everything else is unreliable.

A solid assessment framework gives you:

  • Comparable vendor scores - actually compare vendors against each other
  • Audit-ready documentation - show auditors exactly how you assessed and why
  • Faster cycles - standardized questions mean less customization
  • Clear escalation triggers - when a score drops, you know what to do

How to use this:

You have two paths forward. You can build this yourself using the template. Start by customizing it for your specific industry and risk profile, then send it to vendors to complete. As responses come in, you'll track them in a spreadsheet and score them manually. It takes time and effort to coordinate, but you own the entire process and can adjust it whenever you need.

Alternatively you can use ComplyScore®.
Instead of vendors filling out spreadsheets and you doing manual scoring, vendors answer once in the platform and scoring happens automatically. Risk trends appear in real-time, so you're not waiting weeks for data. Every vendor gets assessed using the exact same framework without shifting criteria or inconsistencies.
And here's the key difference: monitoring continues automatically without you having to rebuild the framework every quarter.