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Compliance Services

Exceed contractual obligations and leverage compliance as a sales enabler with RISCPoint’s hands-on implementation, remediation, and ongoing support services. 


Build trust, drive revenue, and gain the market upper hand with a SOC 1 assessment and audit.

A SOC 1 examination is a report on controls at a service organization relevant to internal controls over financial reporting. The purpose of a SOC 1 report is to give readers of that report enough information to understand the controls that are in place to ensure controls over financial reporting exist. 

There are two types of SOC 1 reports that can be issued:

Type 1: A SOC 1 Type 1 report attests to the design of your controls at a point in time.  This is a valuable tool to get a SOC 1 report available to your business faster, and gauge your readiness for a SOC 2 Type 1.

Type 2: A SOC 1 Type 2 report attests to both the design and operating effectiveness of your controls.  This audit assesses the operating effectiveness of your controls over a period of time that is typically anywhere from 3 months to 12 months.

SOC 1 Journey with RISCPoint


An engagement with RISCPoint to implement a SOC 1 control environment will consist of two phases: readiness assessment and control design & implementation.

In the readiness assessment, our team of experts will conduct workshops with your organization’s business process owners to gain an understanding of the current control environment over financial reporting. A gap listing will be created with these results to identify areas requiring remediation.

As part of control design & implementation, the RISCPoint team will support your organization to implement remediation efforts and provide guidance of best practices.  RISCPoint will also document all of the policy and procedure documents needed for a SOC 1 environment


An engagement with RISCPoint includes support through your external audit process.  Our team of former auditors will guide you through and will be with you every step of the way helping you with key activities such as choosing an auditor right for you, coordinating audit timing, facilitating evidence requests from the auditor, and participating in audit walkthroughs supporting your team.

Post Audit - Continued Success

The maintenance and commitment of a compliant environment does not stop after you have successfully completed your audit.

Our engagements provide you with options ranging from full outsource of your compliance function to oversight of your continuous monitoring to ad-hoc advisory services in order to equip you and your team with the tools necessary to maintain compliance.  

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