Trust through compliance: a SOC2 journey

At Opto Investments, maintaining the highest level of security and trust for our clients is more than a requirement—it’s existentially important.

Our commitment to managing sensitive client data reached a significant milestone with the successful completion of our SOC (Systems and Organizations Controls) Type 2 audit. As Head of Security, I personally dedicated over 900 hours to preparations, but the journey went far beyond my individual efforts. We had to align the entire organization around the policies and processes required by this rigorous standard. In this blog, I want to share some key lessons from our journey to SOC 2 compliance.

Provide constant and clear visibility into progress

Driving organizational alignment required consistent communication and transparency. We used tools like Vanta to track our progress, offering team members a clear view of where we stood and what needed attention. By breaking down the work into clear, incremental steps and sharing steady updates, we fostered a sense of ownership and accountability across the organization. The dashboard became more than a tool—it was a rallying point that made progress tangible and kept us moving forward together.

Frame friction in the form of benefits

Adopting SOC 2 policies wasn’t without its challenges. The friction was real and impacted everyone at Opto, but we deliberately framed this effort around the benefits. Meeting our promises to clients, reducing cybersecurity risks, and opening doors to new client opportunities were all compelling reasons to opt in, and resonated well across our teams. By showing how these policies aligned with our mission and values, we turned compliance from a tedious checkbox exercise into a shared mission. The experience not only brought us closer as a team but also strengthened our client relationships and reinforced our commitment to being industry leaders in security.

Make compliance a continuous practice

“The journey is as important as the destination,” may be a slightly overused saying, but in this case it feels accurate. In fact, in this case the journey - and the legacy it left - was definitely more important than the destination. Compliance isn’t something we do once and forget—it’s a continuous practice designed to keep our clients’ data safe and their trust well placed. The audit itself validated our efforts, but the true success lay in making these practices an integral part of how we operate every day.

At Opto, we’ve embraced our duty to secure our clients’ data, but also to build secure, reliable partnerships rooted in trust and excellence. SOC 2 isn’t just a milestone; it’s an ongoing promise.