Guide to working with auditors: Best practices for startups

Navigating an audit can be complex and time-consuming, but the right preparation and approach can make the process much smoother. Whether you're working toward SOC 2, ISO 27001, or another framework, knowing when to engage auditors, how to provide access, and what to focus on during the audit will set you up for success.

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In this guide, we’ll walk through best practices for working with auditors—from initial engagement to ongoing audit management and post-audit steps.

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1. When to engage an auditor—and why it matters

The first step is choosing the right audit firm. Engaging an audit firm early is key to a smooth compliance journey. When evaluating firms, consider:

• Framework expertise: Do they support the standards you need?
• Timeline alignment: Can they meet your expected deadlines?
• Industry experience: Have they worked with similar organizations?
• Cost transparency: How much will this cost?
• Credibility: Will stakeholders accept their work?
• Vanta integration: How will they leverage Vanta in the audit process?

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These aren’t just questions to ask—they’re key decision-making factors. Engaging with an audit firm isn’t just about the outcome; it’s about the journey to get there. Every firm approaches audits differently, and that includes how they use Vanta. You’ve invested in software with a high ROI, so you have the right to expect clarity. Be sure to ask how they’ll integrate Vanta into their testing process to maximize its benefits.

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Why engage early? 

Auditors aren’t here to catch you off guard; they’re here to assess whether you’re following your own policies and the compliance framework. Engaging early allows you to:

• Build a strong working relationship with your auditor
• Conduct a gap assessment to identify areas needing improvement
• Align your audit timeline with internal security initiatives
• Leverage your auditor’s expertise to understand how similar organizations have met framework requirements

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Tip: Vanta helps fast-track audit readiness, so by the time you engage your auditor, you’re already ahead.

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2. When to grant auditors access to your Vanta instance

While it’s tempting to give auditors access early, strategic timing is crucial. Before granting access, discuss with your audit firm:

• Does the audit team need to review our Vanta environment early or should they wait until testing is ready to start?
• Are there any key milestones they need to achieve before access is needed?
• What are the firm’s testing timelines?

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If you’re still finalizing controls in Vanta, granting early access could cause confusion. However, some firms prefer early access for familiarization—as long as they don’t start testing prematurely.

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Once auditors are granted access to Vanta, they can:

• Change the status of evidence items
• Request additional documentation
• Use in-app comments to communicate evidence follow-ups
• Mark items as irrelevant to the audit

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One important thing to note is that if you add evidence after the engagement window closes, auditors won’t see it. You’ll need to extend the engagement window or provide evidence outside Vanta. (A future Vanta update will resolve this.)

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Tip: Use Vanta’s audit preview feature to track progress before auditors begin testing.

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3. Managing the audit process

It’s also important to establish regular check-ins. The saying "no news is good news" doesn’t apply to audits. The last thing you want is a surprise delay in your final report or certification.

• Early in the audit: Check-ins may be infrequent.
• Last 60 days of the audit period: This is when most testing occurs, so expect more frequent meetings during this time. For point-in-time audits, meetings will be more concentrated around the as-of date, though the exact timing depends on the framework.
• Ask about the auditor’s schedule: Ensure alignment on key dates.

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Even if you've uploaded everything in advance, auditors will have some questions. Be prepared to answer their follow ups:

• Provide additional explanations for evidence items, which can be facilitated using Vanta’s commenting feature
• Upload supplementary documents if needed
• Clarify discrepancies that arise during testing

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Auditors will actively review evidence, leave comments, and update statuses. Stay on top of changes by monitoring your Vanta instance on an ongoing basis:

• Checking Vanta regularly for status updates
• Responding promptly to auditor requests
• Ensuring all critical evidence is submitted before the engagement window closes

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Handling findings

No matter what anyone tells you—findings/exceptions can happen, and they’re completely normal. Don’t panic. If a control fails, your auditor will explain why and provide supporting evidence. Here’s how to handle it effectively:

• Review the finding/exception: Your team should assess its validity
• Provide additional evidence: In some cases, further documentation can resolve the issue
• Respond appropriately: For SOC 2, organizations can provide a response in Section 5 (management’s response) outlining what occurred and remediation steps

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Collaborate with your auditor

Auditors aren’t just there to check boxes—they offer valuable insights. Stay proactive, transparent, and engaged throughout the process.

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Tip: Vanta sends notifications to help you stay on top of issues and compliance tasks. Make sure your notifications are set up correctly—check this page for help.

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4. After the audit: What’s next?

Depending on the framework and nature of the findings, they may be included in your audit report or documented separately. Regardless, you should have an outline of key findings and conclusions, providing an opportunity to:

• Identify areas for improvement
• Implement corrective actions where necessary
• Use Vanta to track remediation and maintain compliance

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Celebrate your success 

Passing an audit is a major achievement! Whether it’s SOC 2, ISO 27001, or another framework, compliance demonstrates your commitment to security and trust. Make sure to:

• Announce your success internally and recognize your team
• Share your compliance status with customers and stakeholders
• Display your security achievements through a Trust Center

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Plan for next year

Compliance is ongoing, not a one-time event. A post-audit debrief with your audit firm will ensure next year’s process runs even more smoothly. Key topics to discuss:

• Operational improvements: What worked well? What could be streamlined?
• Audit timing: When will the next audit take place? How can you prepare? What will the communication until the next audit look like?
• Expanding compliance: Are there additional frameworks to pursue?
• Planned changes: If major security or personnel changes occur, who should be notified?

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By addressing these points, you’ll be better prepared for future audits while continuously improving your security posture.

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Get audit-ready easily 

Navigating an audit doesn’t have to be overwhelming. With early auditor engagement, strategic access management, and a proactive approach, you can ensure a smooth and successful audit experience.

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With Vanta’s automated tools and continuous monitoring, your organization stays audit-ready and compliant—without unnecessary stress.

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Ready to simplify your audit process? Learn how Vanta can help you collaborate with your auditor with ease.