I'm part of a small company with less than 100 employees, primarily operating in AWS. With PCI and SOC audits on the horizon, I'm starting to feel overwhelmed. Our infrastructure was initially set up by a third party and has been mostly maintained automatically since, with my team handling minor updates and patching.
As the audits near, I've realized we lack clarity in several crucial areas: we don't have a clear view of our backups (which ones are covered and which ones aren't), our monitoring practices (what's being logged), and our overall security posture. I'm concerned about what the auditors will require beyond the standard policies and screenshots. I want to ensure we aren't missing any obvious requirements when we face the audit.
For those who have experience with PCI or SOC audits in similar small setups, what kind of evidence or reports did auditors typically request? How in-depth do they examine AWS configurations versus sticking to general controls? Also, how did you manage the preparation process without a dedicated compliance team? I'm trying to decide whether to hire external help or find a cost-effective way to brace ourselves for the audits.
3 Answers
Gathering evidence for the audit can be a real challenge, especially if you're unsure about things like backups. Document everything meticulously! Even if a document refers to a specific control page, ensure you note the steps taken to extract data, like using scripts instead of relying solely on user interfaces that frequently change. Email alerts from automated processes can serve as proof, so set up notifications that indicate when tasks like backups complete - keep those in a designated folder for the auditors to review!
Think of your first audit as a learning experience. You'll likely get a list from your auditor outlining what needs to be fixed. It's a good way to implement changes gradually, tackling a few at a time to spread out costs and effort. In my experience, just being open about what you know and don't know is crucial, but try to resolve any unknowns before the audit - it can lead to better results!
Good advice! I'll definitely work to clarify our backups before the audit. Thanks for sharing!
If you haven't done a gap assessment yet, now's the time! Whether it's a Type 1 or Type 2 audit, you'll want to understand where you stand and what needs improving. For us, tools like Vanta made the evidence collection manageable. They integrate well with AWS and other services, which can save tons of prep time. If I were starting over, I'd consider Thoropass for the same reason—they handle some auditing processes, easing the burden on small teams.
That's a great tip about keeping email alerts! I didn't think about automating evidence gathering like that.