SOC 2 Pen Testing Guide: Types, Requirements & Key Insights

SOC 2 doesn’t explicitly require penetration testing — but skipping it could leave your systems vulnerable and your audit hanging by a thread. 

One unnoticed flaw can easily lead to:

• Data breaches
• Failed compliance
• Lost deals

…and in some rare cases, force you to shut down your business.

In this guide, we’ll break down exactly where pen testing fits into your SOC 2 journey, what auditors expect, and how to make sure you’re fully prepared.

What is SOC 2 compliance?

SOC 2 compliance is a framework made for ensuring companies handle customer data securely and responsibly. 

Developed by the AICPA (American Institute of Certified Public Accountants), it evaluates an organization’s security controls across the five Trust Services Criteria (TSC):

• Security: Protecting against unauthorized access and breaches.
• Availability: Ensuring systems remain operational and reliable.
• Processing Integrity: Making sure data is accurate and complete.
• Confidentiality: Restricting access to sensitive information.
• Privacy: Safeguarding personal information according to privacy laws and policies.

Now, what most people get wrong about SOC 2 compliance, is that SOC 2 isn't a one-size-fits-all certification. 

It’s adaptable, meaning your controls and policies will depend heavily on your organization’s risk profile and business goals. 

For example: 

A small SaaS startup might focus only on cloud security controls and rely on automated monitoring tools for compliance. 

Meanwhile, a large enterprise with on-premises servers and third-party vendors may need physical data center security, vendor audits, and strict remote access controls.

What are the SOC 2 controls?

SOC 2 controls are specific security measures that protect customer data and system resources. While security controls are mandatory, the rest of the Trust Services Criteria are optional, depending on your organization's goals and risk profile.

Below is an overview of the controls associated with each Trust Services Criteria:

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One of the most overlooked controls is employee training. Even the strongest technical safeguards can be undone by poor security awareness among staff. 

In fact, data leakages caused by employees (22%) is among the most concerning security issues faced by SMBs and Enterprises. (read the study here)

SOC 2 audits often evaluate whether your team is trained to recognize phishing attacks, understand secure data handling, and follow proper incident response protocols.

What is SOC 2 penetration testing?

SOC 2 penetration testing is a simulated cyberattack designed to expose vulnerabilities in your systems, networks, and applications.

Think of it like hiring a friendly hacker. Their job is to find cracks in your digital defenses before a malicious attacker does. 

Penetration testing reveals gaps that traditional security measures — like automated vulnerability scans — often miss.

A strong penetration testing program doesn’t just test technology; it evaluates people and processes too. To get started, ask yourself:

• “Are my support teams equipped to handle social engineering attempts?”
• “Are my incident response protocols being followed during real-world attack simulations?”

Why is penetration testing important for SOC 2 compliance?

Penetration testing checks three principal SOC 2 boxes:

1. Validates Your Security Controls

It confirms your defenses actually work under real-world attack scenarios.

2. Identifies Unknown Vulnerabilities

Automated scans can miss nuanced or complex security flaws. Pen tests don’t.

3. Demonstrates Proactive Risk Management

Auditors love seeing proactive security measures. Pen tests signal, “We take security seriously.”

An additional benefit is the ability to simulate attacks across different vectors simultaneously. 

For example, while one tester evaluates your cloud infrastructure, another might focus on phishing employees. Real attackers rarely focus on just one entry point.

Also, real attackers never wait. They move fast and get more sophisticated every year.

This means you have to do the same with your data security measures, otherwise a data breach is inevitable.

So what’s the solution exactly? Say hello to EasyAudit.

EasyAudit has turned SOC 2 compliance into a seamless, consultant-free experience with AI-driven automation, saving businesses 25-50% compared to competitors, while slashing time, costs, and complexity.

Book a demo to experience how effortless compliance can be and get your company audit-ready faster than with any other solution.

What security controls does pen testing validate?

Penetration testing evaluates the following controls:

• Access Controls: Ensuring only authorized users can access sensitive systems.
• Data Encryption: Verifying data is encrypted in transit and at rest.
• Incident Response Plans: Testing your ability to detect and respond to breaches effectively.
• Network Security: Evaluating firewalls, intrusion prevention systems, and perimeter defenses.

A good penetration test doesn’t stop at identifying vulnerabilities — it also assesses whether alerts from these vulnerabilities are correctly triggered and escalated in your monitoring tools.

What are the SOC 2 pen testing requirements?

As we’ve already discussed, penetration testing isn’t a strict requirement for SOC 2 compliance, but auditors highly recommended to address certain items in the Trust Services Criteria:

• CC4.1: Organizations must perform ongoing or separate evaluations to verify if their security controls are operating effectively. Penetration testing is one way to meet this requirement.
• CC7.1: Organizations should have procedures in place to detect vulnerabilities, misconfigurations, and weaknesses in their systems. Regular pen testing can help identify and address these risks proactively.

When you are presenting your pen test findings to auditors, focus on traceability. Show how vulnerabilities align with specific SOC 2 controls, and how remediation plans address those risks.

What are the different types of SOC 2 penetration tests?

The different types of pen tests include network infrastructure testing, web application security testing, cloud configuration review, and social engineering assessment.

Below, we’ll break them all down and explain their focus areas, methodologies, and critical checkpoints to help you validate if your security controls are audit-ready or not.

Network Infrastructure Testing

This evaluates your network’s perimeter defenses, firewalls, and internal configurations. It answers questions like: Can an attacker gain unauthorized access through a misconfigured firewall or outdated server?

During network tests, pay attention to Zero Trust architecture to make sure your segmentation policies and access control mechanisms hold up under simulated attacks.

Proven tools like Nmap scan your network topology, wireshark analyzes traffic patterns, and metasploit attempts to breach detected vulnerabilities.

Web Application Security Testing

Web apps are often the biggest attack surface. This test looks for vulnerabilities like SQL injections, cross-site scripting (XSS), and weak API configurations.

The OWASP Top 10 serves as a critical framework for identifying and addressing common web application vulnerabilities. 

Here are five significant risks testers prioritize during these assessments:

1. Injection Attacks: Exploit poor input validation to execute malicious commands.

2. Broken Authentication: Allow attackers to bypass login controls and impersonate users.

3. Sensitive Data Exposure: Leak confidential information through insufficient encryption or mishandling of data.

4. XML External Entity (XXE) Attacks: Compromise backend systems via poorly configured XML parsers.

5. Security Misconfigurations: Leave systems exposed due to improper setup or unpatched components.

Testing approaches vary by access level:

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Beyond automated tools, double-check if testers manually evaluate business logic flaws, as they often go unnoticed in standard vulnerability scans.

Cloud Configuration Review

Misconfigured cloud environments are a goldmine for attackers. They are considered the most significant security threat by security professionals. 

Cloud pentests give you clarity on if your AWS, Azure, or GCP configurations are secure and access controls are airtight or not.

Crucial security checkpoints for cloud penetration testing:

• Access Controls: Ensure mechanisms effectively guard sensitive resources from unauthorized access.
• Encryption: Verify data is encrypted both at rest and in transit to prevent interception.
• Network Security Groups: Confirm traffic is filtered appropriately to block malicious activity.
• IAM Policies: Validate policies enforce the principle of least privilege, granting only necessary permissions.
• Storage Buckets: Check that storage buckets are configured to prevent unauthorized access and accidental exposure.

Social Engineering Assessment

The human element is often the weakest link. Social engineering tests simulate phishing attacks, impersonation attempts, and other manipulative tactics to see if employees inadvertently compromise security.

Common social engineering scenarios include:

• Phone-based pretexting
• Physical security assessments
• USB drop attacks

Pro Tip: Include multi-channel phishing simulations (e.g., email, phone, SMS) to test vulnerabilities beyond just one attack vector.

Do you need pen testing for SOC 2?

While SOC 2 doesn’t explicitly mandate penetration testing, certain situations effectively make it a requirement, whether due to contractual obligations, auditor recommendations, or a high-risk profile.

Here are five scenarios where pen testing becomes mandatory:

Contractual obligations from clients

Many enterprise clients and partners require proof of regular penetration testing as part of their vendor security assessments. If your customers demand it, it’s no longer optional.

High-risk infrastructure or operations

Companies with complex cloud environments, sensitive APIs, or customer-facing SaaS platforms often face a higher risk of exploitation. 

In these cases, auditors may insist on penetration testing to verify that critical vulnerabilities are addressed.

Audit findings or prior incidents

If previous audits revealed security gaps or if your organization has suffered a recent breach, penetration testing might be recommended — or even mandated — as part of your remediation plan.

Specific auditor recommendations

Auditors have the discretion to determine whether penetration testing is necessary based on your organization’s risk assessment and control environment. 

If they see weak points in your monitoring activities (CC4.1) or vulnerability management (CC7.1), they may require a pen test for compliance approval.

Regulatory overlap with other frameworks

If your organization is also subject to frameworks like ISO 27001, PCI DSS, or GDPR, penetration testing is often a mandatory requirement. 

Since many SOC 2 audits overlap with these frameworks, pen testing may effectively become part of your SOC 2 strategy.

How to know if pen testing is essential for your organization:

• Are your clients or partners requiring pen test reports?
• Has an auditor flagged gaps in your vulnerability management controls?
• Are you operating in a high-risk environment with sensitive customer data?
• Have you experienced a security breach in the past year?

If you answered yes to any of these, penetration testing is required for you to get SOC 2 certified or if you are already compliant, then to maintain that SOC 2 certification.

When is the right time for pen testing in SOC 2 compliance?

The best time for a penetration test is before your audit begins — ideally during your readiness assessment phase, which is 1-3 months before your target audit timeline. 

This gives you time to identify and address vulnerabilities without derailing the audit timeline.

P.S: Post-audit is also an ideal window for retesting. This confirms if your remediation steps have been effective.

How should you plan your SOC 2 penetration test?

First, you need to define the scope of testing. Then choose between internal and external testing. Once chosen, set realistic objectives. And finally, prepare your systems and team for the test.

Now, how do you do all of that? Here’s how to approach each step effectively:

Define the scope of testing

Decide what systems, applications, and environments are in scope to affirm your penetration test focuses on the areas that matter most to your SOC 2 compliance and overall security posture.

The scope of a penetration test determines:

• What will be tested
• How deep the test will go
• Which assets or systems will be excluded

A poorly defined scope can lead to missed vulnerabilities, misaligned priorities, and wasted resources.

How to define the scope effectively:

Start by prioritizing systems that handle sensitive data, such as SaaS applications, cloud storage, and critical business platforms. 

Then include third-party integrations, like vendor APIs and external tools, to prevent blind spots. 

From there clearly define boundaries by specifying which environments — production, staging, or sandbox — are in scope, ensuring staging environments mirror production accurately. 

Map each asset to relevant SOC 2 controls, such as CC7.1 for vulnerability detection, to streamline auditor validation. 

Lastly, account for future growth by including planned cloud services or integrations to keep your testing strategy scalable and relevant.

Pro Tip: Involve your compliance and engineering teams early when defining the scope.

Choosing between internal and external testing

TL;DR:

• Choose internal testing if you're concerned about insider threats, privileged access abuse, or lateral movement within your network.
• Choose external testing if your focus is on protecting customer-facing applications, cloud infrastructure, or external attack surfaces.
• Choose both if you want a holistic view of your organization's overall security posture.

The choice ultimately depends on your organization's infrastructure, risk profile, and compliance objectives. Ideally, both types of tests should be performed for a detailed assessment.

Here’s a side-by-side comparison of the two:

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Make sure to schedule external tests before internal tests. 

External findings can inform the focus of internal assessments, making the overall testing process more targeted and effective.

Setting realistic objectives 

Clearly define what success looks like for your SOC 2 penetration test. Objectives should align with your security priorities, compliance requirements, and risk management strategy.

Here’s how to set objectives effectively:

1. Break objectives into short-term and long-term goals. 

For example:

• Short-term: Identify critical vulnerabilities in production environments.
• Long-term: Improve resilience against social engineering attacks.

1. Prioritize objectives based on risk profile — systems handling sensitive customer data should always be a primary focus.
2. Include specific performance indicators like “All critical vulnerabilities must be remediated within 30 days.”

Recommendation: Objectives shouldn’t stop at just “identifying vulnerabilities.” Include validation of controls, response efficiency, and resilience testing as core benchmarks.

Preparing your systems and team

Both technical infrastructure and personnel must be aligned for an effective pen test.

This is what effective technical preparation looks like:

1. Back up critical systems and data before the test.
2. Check if monitoring tools (e.g., SIEM solutions) are fully operational to detect simulated attacks.
3. Verify staging or test environments closely mirror production systems if used in testing.

Now, let’s look at what proper team preparation consists of:

1. Notify personnel in IT, compliance, and security departments about the test schedule and scope.
2. Designate a Point of Contact (POC) for testers to report findings or seek clarifications.
3. Conduct a pre-test briefing session to align everyone on expectations, processes, and emergency protocols.

Recommended communication protocols:

• Establish clear escalation channels if testers trigger critical alerts during testing.
• Document roles and responsibilities for incident response drills triggered by pen tests.

Proper preparation ensures that penetration testing provides valuable insights without unexpected disruptions, positioning your organization for both a successful audit and stronger security posture.

How do you run a SOC 2 pen test effectively?

Executing a successful SOC 2 penetration test requires more than just finding vulnerabilities — it’s about aligning objectives, leveraging experienced testers, and ensuring clear documentation and actionable remediation plans. 

Let’s break down the essential steps to guarantee your pen test delivers meaningful results and supports your compliance goals.

P.S: If you love conducting pen tests, keep reading. But if you just want to get it done and get it done asap, EasyAudit’s all-in-one compliance automation solution is your answer. 

Schedule a demo and see how EasyAudit makes passing audits effortless.

Selecting qualified testers

Look for credentials such as OSCP (Offensive Security Certified Professional), CEH (Certified Ethical Hacker), or CISSP (Certified Information Systems Security Professional). 

Certifications alone, however, aren't enough — practical experience in SOC 2 environments is a must-have also. Here’s what to look out for:

• Verify whether testers specialize in your tech stack (e.g., AWS, Azure, Kubernetes).
• Ask for sample reports from past SOC 2 penetration tests to gauge their thoroughness and clarity.
• Opt for testers who provide both automated and manual testing methodologies — automated scans for breadth, manual testing for depth.

P.S: Look for vendors who also offer retesting as part of their package. It ensures vulnerabilities are properly remediated and verified before your SOC 2 audit.

Documentation requirements

Every finding, methodology, and remediation recommendation must be logged without exception. 

Auditors rely heavily on this documentation to validate your security measures.

Tips for smart documentation:

• Include executive summaries for stakeholders who may not understand technical jargon.
• Provide detailed technical findings reports with CVSS (Common Vulnerability Scoring System) scores.
• Keep an evidence archive, including raw logs, screenshots, and proof of successful exploitation.
• Align each documented finding with a corresponding SOC 2 Trust Service Criteria (e.g., CC4.1 or CC7.1). This makes it easier for auditors to verify compliance.

Weak documentation paralyzes your audit process. Strong documentation proves your business’s security controls work.

Testing methodology best practices

Follow established penetration testing methodologies for consistency and reliability. Some examples of frameworks that are widely accepted by auditors:

• OWASP (Open Web Application Security Project)
• NIST SP 800-115
• PTES (Penetration Testing Execution Standard)

Additional best practices include:

• Make sure your methodology includes pre-test reconnaissance, exploitation, and post-exploitation analysis.
• Simulate real-world attack vectors — not just technical ones, but also social engineering and physical security testing if applicable.
• Perform Red Team exercises if your organization has a mature security posture.

After the test, it's recommended to run a post-mortem review meeting to discuss findings, lessons learned, and steps to strengthen the company’s security controls.

Managing test findings

Don’t just focus on fixing the most critical vulnerabilities — address root causes. 

Often, a single vulnerability points to larger systemic issues.

How to manage test findings efficiently:

First, prioritize findings based on impact, exploitability, and likelihood.

Then create a Remediation Roadmap with clear timelines, responsible teams, and follow-up actions.

And lastly, communicate findings across all relevant departments — not just IT, but also leadership and compliance teams.

What are the common pen testing mistakes to avoid?

The common mistakes people make when conducting a pen test are unclear scope, poor timing, inadequate documentation, and missing follow-up tests.

Penetration tests can lose their effectiveness if important elements are overlooked or mishandled. 

Here’s how to recognize and prevent these common pitfalls.

Insufficient scope definition

A poorly defined scope leads to missed vulnerabilities and ineffective testing. Scope should clearly outline what’s in and out of testing, including assets, systems, and third-party services.

How to avoid making this mistake:

• Involve compliance, IT, and security teams when defining the scope.
• Make sure to include all third-party integrations and APIs (they’re often overlooked).
• Be specific about testing boundaries (e.g., production vs. staging environments).

Regularly revisit and update your scope as your infrastructure evolves.

Poor timing with SOC 2 audit

Conducting a penetration test too close to your audit leaves little time for remediation. 

Ideally, testing should happen 2-3 months before the audit deadline.

How to avoid making this mistake:

• Plan penetration tests during low-activity business periods to minimize disruptions.
• Include retesting timelines in your compliance calendar.
• Align penetration testing schedules with other security assessments to maximize efficiency.

We’d also recommend conducting a readiness assessment before the actual test to ensure systems are properly prepared and avoid having to redo the test.

Inadequate documentation

Weak documentation can undermine even the most thorough penetration test. Missing logs, vague findings, or unclear remediation steps create unnecessary friction during audits.

To avoid inadequate documentation, make sure to document all test methodologies, tools, and frameworks used. Also provide a chain of custody for sensitive evidence collected during testing.

Add timestamps and tester credentials in the final report.

And lastly, always include a risk remediation matrix to prioritize fixes effectively.

Document with purpose. Every finding matters.

Missing follow-up tests

A vulnerability that hasn’t been retested isn’t truly fixed. Post-remediation testing verifies if security patches have been implemented effectively or not.

How to conduct post-remediation testing the right way:

• Retesting should be scheduled immediately after critical vulnerabilities are patched.
• Include specific criteria for "success" in your retesting phase (e.g., exploit attempts must fail).
• Log retesting results as evidence for auditors.
• Establish a standard operating procedure (SOP) for follow-up testing after every pen test cycle.

After the pen test: Next steps

The true value of a penetration test comes from what happens next.

Effective remediation, clear documentation, and proper preparation for the SOC 2 audit are crucial to turning findings into measurable security improvements.

Here’s how to prevent anything from falling through the cracks:

Prioritize vulnerabilities

Use a risk-based approach to prioritize fixes. Not all vulnerabilities pose equal risks, and your resources should be allocated accordingly.

Fundamentals for prioritizing vulnerabilities:

• Use a risk scoring framework like CVSS to rank vulnerabilities.
• Separate quick wins (e.g., configuration fixes) from long-term remediation projects (e.g., architectural redesigns).
• Identify dependencies between vulnerabilities — sometimes fixing one issue resolves multiple risks.

Implementing security fixes

Assign clear responsibilities for remediation tasks. Each vulnerability should have an owner, a deadline, and measurable success criteria.

Best practices for implementing security fixes:

Agile security sprints are an efficient way to address vulnerabilities systematically, breaking down tasks into manageable phases with regular check-ins to monitor progress.

For critical fixes, peer reviews should be conducted before deployment to catch potential oversights and validate the quality of the solution. 

After implementing a fix, automated scans should be used for initial validation, followed by manual verification for deeper assurance. 

Throughout this process, document each step thoroughly with before-and-after screenshots to create a clear audit trail, making it easier to demonstrate remediation efforts during SOC 2 audits.

Prepare for the SOC 2 audit

Start by organizing all penetration test artifacts, reports, and evidence well in advance, ensuring they align with relevant SOC 2 controls. 

Once done, cross-reference remediation actions with specific control mappings, such as CC4.1 and CC7.1, to simplify auditor validation. 

Hold an internal compliance review meeting to verify everything is in order and address any outstanding gaps. 

Train your team to confidently handle auditor queries with clear, evidence-backed answers. 

Finally, provide auditors with a walkthrough document summarizing key remediation activities and improvements.

SOC 2 Pen Testing is Easy, If Done With EasyAudit

Having read through all that, you're probably feeling one of two things right now (if not both): overwhelmed or a bit intimidated.

And that’s totally understandable…

However, with the right tools, processes, and support, SOC 2 compliance stops being an exhausting checklist and becomes a smooth, repeatable system.

This is exactly where EasyAudit shines.

• Achieve SOC 2 compliance in half the time and at 25-50% less cost than traditional methods.
• Eliminate expensive consultants with our AI-powered workflows.
• Map hundreds of documents to compliance controls with mass document-to-control automation — no manual mapping required.
• Generate custom security policies in seconds, not hours.
• Integrate with 500+ tools for seamless evidence collection and real-time monitoring.

Your competitors are still buried in spreadsheets and scattered workflows. Meanwhile, you’re securing contracts faster, with a compliance process that practically runs itself.

Don’t let compliance slow you down, instead have it speed you up.

Get started with EasyAudit today.

FAQs

Why do most auditors recommend pen testing for SOC 2?

Auditors recommend pen tests because they provide concrete evidence that your security controls are working. A vulnerability scan might identify risks, but only a pen test can prove whether those risks are exploitable.

Auditors often look for specific test artifacts — including raw scan results, evidence of follow-up remediation, and documentation showing how risks align with SOC 2 controls.

How can you maintain ongoing penetration testing?

Ongoing penetration testing includes: 

• Continuous vulnerability scanning
• Regular assessments
• Strategic timing

For automated vulnerability scans, tools like Nessus, OpenVAS, or Qualys can monitor systems in real-time, validate results regularly, and integrate seamlessly into your CI/CD pipeline for ongoing threat detection.

In addition to automated scanning, schedule quarterly or bi-annual security assessments that include red team exercises and tabletop drills. These assessments provide deeper insights and uncover vulnerabilities that automated tools might overlook.

Timing is equally crucial. Plan penetration tests around critical risk triggers, such as infrastructure changes, product launches, or post-breach recovery scenarios, to address potential vulnerabilities proactively.

To make the process sustainable, create a Penetration Testing Playbook that documents objectives, scope, results, and fixes to maintain consistency, clarity, and repeatability for future tests and audits.

With this structured approach, penetration testing becomes an integral, ongoing security practice rather than a one-time compliance checkbox.

What is vulnerability scanning?

Vulnerability scanning is an automated process used to identify, assess, and report known vulnerabilities in an organization’s systems, networks, and applications. 

It’s basically like a “health check” for your security infrastructure, highlighting weak spots that attackers could exploit.

While penetration testing simulates real-world attacks, vulnerability scanning focuses on broad, consistent detection of known issues — missing patches, outdated software, misconfigurations, and exposed services. 

It serves as a foundational security practice and complements penetration testing for a more comprehensive risk assessment strategy.