A tailored course, built for your situation
Aligning Risk, Security, and Compliance for Financial Institutions Under Regulatory Scrutiny
A step-by-step guide to aligning risk, security, and compliance under real-world regulatory pressure
$199 one-time
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12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.
Audit evidence packages that require last-minute reconciliation across GRC, security, and business continuity teams
The situation this course is for
Senior risk and security leaders spend 80+ hours each quarter reconciling overlapping compliance demands into a coherent submission, only to face rework during regulator review.
Who this is for
Senior risk and security executives in financial services who own overlapping mandates and must deliver unified compliance outcomes under scrutiny
Who this is not for
Entry-level compliance analysts, auditors without implementation responsibility, or practitioners focused solely on technical controls without governance integration
What you walk away with
- Produce a unified resilience package that satisfies multiple regulatory expectations
- Reduce pre-audit preparation time by automating evidence collection across domains
- Eliminate cross-team chasing during control validation cycles
- Turn ISO 22301 into a strategic enabler, not just a checklist
- Gain confidence that your compliance story holds under regulator questioning
The 12 modules (with all 144 chapters)
Module 1. Foundations of Integrated Resilience in Financial Services
Establish the core principles of aligning risk, security, and compliance under regulatory scrutiny using ISO 22301 as the backbone.
12 chapters in this module
- Understanding the convergence of risk, security, and compliance mandates
- Mapping regulatory expectations to business continuity requirements
- Defining resilience beyond disaster recovery in banking contexts
- The role of the CRO-CISO overlap in modern financial institutions
- Key differences between ISO 22301 and sector-specific resilience rules
- Building stakeholder alignment across legal, ops, and IT teams
- Common pitfalls in early-stage resilience program design
- Establishing ownership models for cross-functional resilience
- Integrating incident response with business continuity planning
- Designing for regulator engagement from day one
- Creating a shared vocabulary across risk and security teams
- Setting measurable objectives for integrated resilience
Module 2. ISO 22301 Implementation Roadmap for Regulated Environments
Walk through a phased, practical rollout of ISO 22301 tailored to banks under continuous regulatory observation.
12 chapters in this module
- Assessing current maturity against ISO 22301 clauses
- Prioritizing implementation based on audit exposure
- Securing executive buy-in without overpromising
- Developing a realistic 90-day action plan
- Engaging legal and compliance early in the process
- Aligning with existing frameworks like NIST CSF and DORA
- Managing scope creep during initial deployment
- Documenting policies that pass regulator review
- Training staff on new roles and responsibilities
- Conducting internal readiness assessments
- Preparing for external certification audits
- Sustaining momentum after initial certification
Module 3. Control Mapping Across Risk, Security, and Compliance Domains
Learn how to map overlapping controls from different standards into a single, maintainable structure.
12 chapters in this module
- Identifying duplicate controls across GRC, security, and BCM
- Creating a master control register with ownership tags
- Reducing redundancy in evidence collection processes
- Linking ISO 22301 requirements to SOX and GLBA obligations
- Using automation to keep mappings up to date
- Visualizing control coverage across multiple regulations
- Handling exceptions and compensating controls transparently
- Ensuring consistency in control descriptions and testing
- Integrating third-party vendor controls into the map
- Maintaining version control during framework updates
- Reporting mapped controls to senior leadership
- Updating mappings after organizational changes
Module 4. Evidence Collection That Scales Under Pressure
Design systems for gathering, validating, and presenting evidence that survive regulator scrutiny.
12 chapters in this module
- Defining what constitutes acceptable evidence in audits
- Automating data pulls from security and operations tools
- Standardizing formats for logs, attestations, and screenshots
- Assigning evidence ownership by role and team
- Building a centralized evidence repository with access controls
- Validating completeness before submission deadlines
- Versioning and timestamping critical evidence files
- Preparing for surprise requests during live reviews
- Redacting sensitive information without weakening proof
- Cross-referencing evidence to specific control assertions
- Archiving evidence for long-term retention needs
- Auditing the evidence collection process itself
Module 5. Stakeholder Communication Across Executive Teams
Craft messages that resonate with executives, regulators, and auditors without oversimplifying complexity.
12 chapters in this module
- Translating technical controls into business impact language
- Tailoring updates for board, legal, and IT audiences
- Creating dashboards that show progress at a glance
- Writing clear summaries for non-expert reviewers
- Anticipating tough questions from external assessors
- Managing communication during incident response
- Escalation protocols for unresolved findings
- Using storytelling techniques in compliance reporting
- Balancing transparency with reputational risk
- Incorporating feedback from past audit cycles
- Scheduling regular check-ins with key stakeholders
- Documenting decisions made during stakeholder meetings
Module 6. Resilience Testing and Assurance Cycles
Run effective tests that prove your institution can withstand disruption and meet regulatory expectations.
12 chapters in this module
- Planning annual resilience testing calendars
- Choosing between tabletop, simulation, and full-scale drills
- Involving frontline staff in realistic scenarios
- Measuring success beyond attendance and completion
- Capturing lessons learned in structured reports
- Linking test outcomes to control improvements
- Demonstrating improvement year-over-year
- Coordinating with regulators on test timing and scope
- Publishing results internally to build confidence
- Addressing gaps identified during testing
- Adjusting plans based on changing threat landscapes
- Maintaining independence in assurance activities
Module 7. Change Management Within Complex Financial Systems
Manage ongoing changes to people, processes, and technology without breaking compliance alignment.
12 chapters in this module
- Tracking system changes that affect resilience posture
- Updating documentation automatically when configurations change
- Notifying stakeholders of impactful modifications
- Reviewing change requests for compliance implications
- Maintaining audit trails for all configuration updates
- Handling emergency changes while preserving evidence
- Integrating change management with incident response
- Assessing vendor-driven changes for regulatory impact
- Managing personnel turnover in key control roles
- Revalidating controls after major infrastructure upgrades
- Communicating changes to external assessors
- Learning from near-misses and close calls
Module 8. Vendor and Third-Party Oversight Integration
Extend your resilience framework to cover third parties without overextending your team.
12 chapters in this module
- Classifying vendors by resilience-criticality
- Requiring ISO 22301 alignment in procurement contracts
- Collecting evidence from third parties efficiently
- Assessing vendor resilience claims objectively
- Managing subcontractor relationships in the chain
- Monitoring performance through SLAs and KPIs
- Responding to third-party incidents affecting operations
- Including vendors in your testing cycles
- Terminating relationships due to compliance failures
- Maintaining records of third-party evaluations
- Leveraging shared assessments to reduce burden
- Building mutual understanding with key partners
Module 9. Regulator Engagement and Inspection Readiness
Prepare for inspections with confidence, knowing your materials will hold up under scrutiny.
12 chapters in this module
- Understanding typical regulator inspection timelines
- Organizing documentation for quick retrieval
- Anticipating common lines of questioning
- Designating primary and backup points of contact
- Conducting mock inspections internally
- Practicing responses to difficult scenarios
- Presenting evidence clearly and concisely
- Handling document requests under tight deadlines
- Correcting minor findings before formal closure
- Negotiating timelines for remediation plans
- Following up after inspection conclusions
- Incorporating feedback into future cycles
Module 10. Automation and Tooling for Sustainable Compliance
Use technology to maintain alignment without increasing headcount.
12 chapters in this module
- Evaluating tools for GRC, BCM, and security integration
- Selecting platforms that support ISO 22301 workflows
- Configuring automated reminders for upcoming deadlines
- Building integrations between ticketing and compliance systems
- Using APIs to pull real-time evidence from cloud environments
- Generating reports directly from source systems
- Alerting on deviations from expected control states
- Applying machine learning to predict audit risks
- Scaling documentation efforts through templates
- Reducing manual effort in attestation processes
- Ensuring tooling supports offline fallback options
- Measuring ROI on compliance automation investments
Module 11. Continuous Improvement and Maturity Advancement
Move from compliance checkbox to strategic advantage through iterative refinement.
12 chapters in this module
- Measuring program effectiveness with meaningful metrics
- Benchmarking against peer institutions and best practices
- Identifying opportunities for proactive enhancements
- Soliciting feedback from internal and external reviewers
- Updating policies based on lessons learned
- Investing in training to raise team capability
- Recognizing and rewarding contributions to resilience
- Sharing successes across the organization
- Adapting to evolving regulatory expectations
- Exploring advanced applications of ISO 22301
- Positioning resilience as a competitive differentiator
- Planning multi-year maturity advancement
Module 12. Leadership and Influence in Dual-Mandate Roles
Exercise authority effectively when holding both risk and security leadership positions.
12 chapters in this module
- Establishing credibility across competing departments
- Balancing short-term firefighting with long-term strategy
- Delegating appropriately while maintaining oversight
- Making tough prioritization decisions under constraints
- Navigating political dynamics in matrix organizations
- Communicating urgency without causing panic
- Building coalitions around shared goals
- Driving accountability in decentralized teams
- Hiring and developing talent for integrated roles
- Mentoring others in dual-responsibility positions
- Maintaining personal resilience under pressure
- Leaving a lasting legacy in institutional preparedness
How this maps to your situation
- Initial assessment and planning
- Implementation and control design
- Ongoing operations and maintenance
- Audit and inspection readiness
Before vs. after
Before
Spending 80+ hours each quarter reconciling disjointed evidence across risk, security, and compliance functions, facing rework during regulator reviews.
After
Producing a unified, validated resilience package in under 10 hours, with clear ownership, automated evidence flows, and confidence it will pass scrutiny.
What's included with your purchase
- 12 modules with 12 chapters each (144 chapters)
- Downloadable templates and worked examples for every module
- Hand-built implementation playbook delivered alongside course access
- 30-day money-back guarantee
Delivery and format
- Course and learning environment access provisioned within 24 hours of purchase
- Hand-built implementation playbook delivered alongside course access
Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.
Time investment: Approximately 90 minutes per week over six weeks, designed for completion on weekends or off-hours.
If nothing changes
Without alignment, overlapping mandates lead to duplicated effort, inconsistent reporting, and increased exposure during regulatory inspections.
How this compares to the alternatives
Unlike generic compliance courses, this program delivers implementation-grade guidance specifically for financial institutions managing dual risk and security mandates under real regulatory pressure.
Frequently asked
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Is this relevant if my bank isn’t pursuing ISO 22301 certification?
Yes. The framework provides structure even if certification isn’t the goal, many banks use ISO 22301 principles to unify their resilience programs.
Can I share the templates with my team?
Yes. All downloadable materials are licensed for internal use across your department.
$199 one-time. Approximately 90 minutes per week over six weeks, designed for completion on weekends or off-hours..
Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.
30-day money-back guarantee·
144 chapters·
Hand-built playbook included·
Account access within 24 hours