SOC 1 Services

AuditMiner is designed to help CPA firms automate and streamline their employee benefit plan audit process.

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SOC 1 Review Toolkit

The SOC 1 Review Toolkit from AuditMiner provides information identified in a service organization’s Type 2, System and Organization Controls (SOC) Report. It’s an Excel workbook that comes pre-loaded with information identified by the service auditor and is designed to meet audit standards for review of the Type 2, SOC 1 report. 

Automation is a key component in the development of an optimally efficient audit approach. Our SOC 1 Toolkit takes a SOC 1 report and inputs all relevant controls into an easy-to-use Excel workbook that includes corresponding complementary user entity controls and walkthrough procedures. Say goodbye to hours spent manually copying, pasting, and re-typing data into your audit programs. 

With AuditMiner’s Toolkit, the SOC 1 report is already analyzed by experienced auditors and contains the following¹: 

  1. General information relating to the SOC 1 report such as period covered, type of report, familiarity with the service auditor, etc. 
  2. Subservice providers that have been carved out of the SOC 1 report, including the functions performed by the subservice provider, if those functions are relevant to the user entity’s controls, and if further procedures over the subservice provider are recommended. 
  3. Control objectives are pre-loaded, including the page number, an analysis of deviations (if any), and a determination if the control objective is relevant to the audit of the plan. 
  4. Complementary user entity controls are preloaded, including the page number, the applicable control objective each pertains to, and an example walkthrough procedure the auditor could perform for those controls that are considered relevant to the audit.   
  5. Conclusion tab which indicates if a sufficient understanding of controls has been obtained, along with an assessment of where testing could be reduced (but not eliminated) in the audit. 

¹ This tool is intended to assist auditors in documenting procedures and findings related controls at a service organization that is relevant to the user entity’s internal control over financial reporting. This tool is completed under the assumption that the user entity is an employee benefit plan (EBP) and has received a certification of assets and related income. If used for a non-EBP audit, certain content may need to be adjusted by the auditor. All decisions regarding additional procedures, reliance on controls, walkthroughs, and conclusions must be reviewed by the auditor using judgment and experience in determining whether the information is sufficient for their audit.

SOC 1 Toolkit Pricing

What do you get for $250? Simple. You get the best (and only?) SOC 1 Review Toolkit on the market.  Not only that, but we are so confident in our toolkits that we offer a 100% money-back guarantee! So, what are you waiting for?

Available SOC 1 Toolkits

2021

  • ADP AutoPay Payroll Services
  • ADP Payroll Tax Services System
  • ADP Retirement Services 401(k) Qualified Plan & Recordkeeping Services
  • ADP Small Business Services
  • ADP Workforce NOW Services
  • ADP Wages Services System
  • AIG Retirement Services – DC Plan Admin. System
  • Alerus Retirement and Benefits Retirement Plan Services System, Payroll Processing System and Related General Computer Controls System
  • AllianceBernstein LP Investment Advisor Operations System
  • American Funds Transfer Agency Services
  • Ascensus LLC DC Recordkeeping Services
  • Ascensus Trust Company Qualified Plan Services
  • AUL Co. Retirement Plan Processing
  • Banco Popular de Puerto Rico’s -Trustee & Paying Agent System
  • Benefit Plan Administrative Services, Inc.’s (BPAS) – Plan Admin. & Recordkeeping
  • BMO Harris Bank, N.A. Institutional Trust Services System
  • Capital Bank and Trust Company – Directed Trustee Services
  • Capital Group Retirement Services – Retirement Plan Recordkeeping Services
  • CBIZ Benefits & Insurance Services, Inc. Administrative Outsourcing System
  • Capital Group Companies, Inc. – Information Technology Services
  • Ceridian’s Dayforce-Human Capital Management
  • Charles Schwab Advisor Services
  • Charles Schwab & Co. Information Technology Services
  • Charles Schwab Trust Bank – Trust & Custody Services
  • CoAdvantage Human Resource Solutions System
  • Complete Payroll Processing, Inc. – Payroll Processing, Tax Reporting and Disbursement Services System
  • Connecticut On-Line Computer Center, Inc.
  • Cyxtera Colocation Services
  • Delta Dental of CA Claims Processing System
  • Dominion Payroll Services
  • DST Systems, Inc. – Information Technology General Control System
  • Empower – Great West
  • Empower – Mass Mutual
  • EPIC Retirement Plan Services – Daily and Periodic Valuation Recordkeeping System
  • Evernorth Health, Inc.’s Pharmacy Claims Processing System
  • Excellus Health Plan, Inc. – Claim Processing & Underlying Systems
  • Express Scripts Rebates Share Processing
  • FHN Financial, Inc. PASPort Portfolio Acctg. System
  • Fidelity Information Systems (FIS) Computer Services
  • Fidelity Information Services, LLC – Mercury System
  • Fidelity Information Services, LLC – Reliance Trust Company
  • Fidelity Information Services, LLC – Relius System
  • Fidelity Technology Group
  • Fidelity Workplace Services LLC
  • Fifth Third Institutional Services
  • Fringe Benefits Design of Minnesota, Inc. – Daily Valuation Pension Plan Administrative Services
  • John Hancock Participant-Level Recordkeeping System
  • John Hancock Retirement Plan Services
  • J.P. Morgan Asset Management – Investment Management Services
  • J.P. Morgan ITGC
  • J.P. Morgan Securities Operations
  • Lincoln Alliance Admin. Transaction Processing System
  • Lincoln Director & Lincoln American Legacy Retirement Contract
  • LPL Financial
  • Matrix Trust Company
  • Matrix Trust Company Custody and Mutual Fund Processing Services
  • Merrill Lynch Brokerage Operations
  • Merrill Lynch Recordkeeping & Trust Services
  • MG Stover & Co. Management Acctg. & Admin. System
  • Mid Atlantic Trust Company – Trust & Custody Services
  • Milliman, Inc. Employee Benefits Administration – Defined Contribution Administration System
  • MPAY Inc. Payentry Financial Services
  • MSSB Core Investment Management
  • National Financial Services LLC – Brokerage, Mutual Fund and Prime Services System
  • Newport Group Retirement Services
  • Northern Trust – Custody & Fund Services
  • Northwest Plan Services
  • Paychex Information Technology System
  • Paychex Payroll Processing System
  • Paychex Retirement Services
  • Paycom – Payroll Processing
  • Paycor Payroll Processing
  • Paylocity – HR & Payroll System
  • PayPal, Inc.’s Braintree Payment Processing System
  • PayPal Payment Processing System
  • PAYPRO Workforce Management Payroll System
  • Plan Administrators, Inc. Retirement System and Related General IT Controls
  • PMA Management Corp. Claim Payment Processing
  • Proliant, Inc. Payroll Processing System
  • PrimePay Payroll Processing System
  • Principal
  • Prudential Retirement Insurance & Annuity Co.
  • Reliance Trust Company (Fidelity Information Services)
  • Robert W. Baird & Co Incorporated Custody Services System
  • Schwab Retirement Plan Services Inc.
  • Securian Financial Group Participant Recordkeeping System
  • SEI Private Trust Company – Trust Services System
  • Sentry Retirement Plan Services System
  • SS&C GlobeOp Fund Services
  • State Street Global Fund Accounting & Custody
  • State Street IT General Controls
  • State Street – Kansas City Insurance Services Depart. -Sep. Acct., General Acct., Mortage Loans & Co
  • TD Ameritrade, Inc. – Self-Directed Brokerage Accounts Processing System
  • T. Rowe Price Services – DC Recordkeeping System
  • T. Rowe Price – ITGC – Global Technology Applications
  • T. Rowe Price – Transfer Agent & DC Recordkeeping FIS Capital Market US
  • TIAA – Cref
  • Transamerica
  • UBS Financial Services
  • USB Trust and Custody
  • Ultimate Kronos Group Inc. – Workforce management solution system
  • Ultimate Kronos Group – UKG Pro & Pro Enterprise System
  • UnitedHealthcare’s Report OnUMR Claims Payment System Claim Administration
  • Vanguard DC Recordkeeping and Trust Services
  • Versant Health, Inc. Claims Processing System
  • Versant Health, Inc. Davis Vision Claims Processing
  • Voya (Omni)
  • Voya Services Company – IT General Controls System
  • WEX Health Inc.’s Benefits Platform
  • Wells Fargo Bank Trust Services Group
  • Wells Fargo Clearing Service – Clearing Broker Operations and Processing Services System

AuditMiner can process SOC 1s from any service organization, even if not related to employee benefit plan audits. Don’t see your service organization?  Send us a message below to REQUEST or PURCHASE a SOC 1 toolkit and we will connect with you as soon as possible.