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SOC 1 Compliance

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Safeguard Client Trust With Independent Assurance On Your Financial Reporting Controls

If your organisation provides services that impact the financial reporting of your clients, a SOC 1 (System and Organisation Controls 1) report is essential. At Complyport, we support service organisations in the UK and beyond to meet SOC 1 reporting standards, helping you build trust, demonstrate transparency and meet client expectations.

What Is A Soc 1 Report?

A SOC 1 report is an independent assessment that evaluates the design and operational effectiveness of internal controls relevant to a client’s financial reporting. It is performed under the AICPA’s SSAE 18 standard and is highly relevant for service providers that support financial operations, such as:
  • Payroll processors
  • Investment managers
  • Fund administrators
  • Financial technology (FinTech) providers
  • Data hosting or back-office support services
There are two types of SOC 1 reports:
  • Type I: Assesses the design of controls at a specific point in time
  • Type II: Assesses both design and operating effectiveness over a defined review period

Our SOC 1 Readiness & Support Services

At Complyport, we work closely with service organisations to prepare for successful SOC 1 audits through a comprehensive readiness and support programme.
Our services include:
  • SOC 1 readiness assessments: Identify gaps in existing controls
  • Internal control design & enhancement: Ensure your controls meet audit requirements
  • Documentation support: Policies, procedures and process mapping
  • Stakeholder training: Educating internal teams on SOC 1 expectations
  • Pre-audit testing: Simulating Type I or Type II testing to flag potential risks
  • Ongoing support: Post-audit assistance and control refinement

How Can Complyport Help?

As trusted compliance and regulatory experts, we bring:
  • Deep expertise across financial services, fintech and outsourced service providers
  • A pragmatic and tailored approach to compliance, not one-size-fits-all
  • Alignment with both UK and international assurance standards
  • A proven track record in preparing firms for SOC 1 success
  • Pre-audit testing: Simulating Type I or Type II testing to flag potential risks
  • Ongoing support: Post-audit assistance and control refinement
We do not just help you meet the standard; we help you understand it, implement it and benefit from it.

Benefits Of Soc 1 Compliance

  • Meet client and stakeholder expectations
  • Reduce audit fatigue and streamline onboarding
  • Strengthen internal governance and risk management
  • Build credibility and trust in competitive procurement processes
  • Support your organisation’s scalability and readiness for future audits

Ready To Get Started?

Whether you’re pursuing your first SOC 1 report or improving your internal controls for a renewal, Complyport can guide you every step of the way.
Get in touch today to learn how we can help your organisation achieve SOC 1 compliance confidently and efficiently.

Paul Grainger
Chairman

+44 (0)20 7399 4980
pgrainger@complyport.com

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Why Choose Complyport?

Extensive Regulatory Expertise

With over 25 years of experience in the financial services industry, Complyport offers unparalleled expertise in regulatory compliance, ensuring your firm stays ahead of evolving regulations.

Comprehensive Service Offering

From AML audits to risk management and regulatory reporting, Complyport provides a full spectrum of compliance services, allowing you to streamline your compliance processes and focus on your core business activities.

Tailored Compliance Solutions

We provide bespoke compliance solutions that are specifically designed to meet the unique needs of your business, ensuring that all regulatory requirements are met efficiently and effectively.

Client-Centric Approach

We provide bespoke compliance solutions that are specifically designed to meet the unique needs of your business, ensuring that all regulatory requirements are met efficiently and effectively.

Senior-Level Guidance

Our team of seasoned professionals, including former regulators and industry experts, leads all engagements, offering deep insights and practical advice to help you manage compliance risks effectively.

Innovative Fintech, Regtech and AI Solutions

Leveraging cutting-edge fintech, regtech and AI tools, Complyport enhances your compliance processes with advanced technology, ensuring accuracy, efficiency and real-time regulatory updates. Our innovative solutions empower your firm to stay compliant while maximising operational efficiency.

Key Figures

Over 25 Years

Providing Compliance Excellence

Over 1,500

Successful FCA, EU and UAE Authorisations

Over 1,000

Active Firms Receiving
Regulatory Support

8 Lots

FCA/PRA Skilled Person
& Consultancy Panel

How Complyport Compares

Complyport
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Easier Approvals
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Same Day Subject Matter Expert Assigned to you
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Faster Approach
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96% Probability of Approval
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