A tailored course, built for your situation
Mastering DORA for Senior Financial Compliance Practitioners
A structured path to internal authority on operational resilience planning
$199 one-time
24-hour access provisioning
30-day money-back guarantee
Hand-built implementation playbook
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.
Being challenged on compliance decisions without clear backing
The situation this course is for
Even experienced practitioners face pushback when justifying controls without direct references to regulation text or supervisory precedent. Assumptions get questioned, timelines slip, and credibility erodes when responses lack anchored reasoning.
Who this is for
Senior compliance or risk practitioner in financial services managing operational resilience under DORA, MiFID II, or similar mandates
Who this is not for
Entry-level analysts, auditors focused solely on SOX, or professionals outside financial services regulation
What you walk away with
- Confidently explain the rationale behind each DORA control using verbatim text and supervisory logic
- Deflect challenges with direct citations from EBA guidelines and recent regulatory decisions
- Draft incident response plans that align with Article 19 evidence expectations
- Structure internal memos using the same reasoning patterns used in ECB-reviewed submissions
- Navigate third-party risk documentation with precedent-backed justifications
The 12 modules (with all 144 chapters)
Module 1. DORA’s Scope and Applicability to Private Banking Units
Clarify which obligations apply to asset management versus private banking arms under Article 3 classifications with real examples from EU national regulator interpretations.
12 chapters in this module
- Defining financial entity status under DORA Article 3(1)
- Mapping the firm’s entity type to reporting thresholds
- Differentiating between ICT third-party risk and operational risk exposure
- How national competent authorities interpret cross-border applicability
- Recent ANB clarification on private banking service exclusions
- Case study: Incident reporting scope at a UK-EU hybrid firm
- Internal documentation needed for jurisdictional alignment
- Timing thresholds for cross-border incident escalation
- Treatment of legacy agreements under new DORA standards
- Internal audit checklist for scope validation
- Common misclassifications in multi-divisional banks
- Template: Entity classification decision matrix
Module 2. Incident Classification and Reporting Timelines
Break down Article 19 requirements with actual incident logs and regulator-accepted categorization logic.
12 chapters in this module
- Defining a major ICT incident under DORA Article 4(17)
- Time-bound escalation paths from detection to regulator submission
- Examples of incidents that triggered 24-hour reporting
- How regulators distinguish impactful vs. non-impacting events
- Role of internal escalation committees in classification
- Documenting incident severity using EBA severity matrix
- Internal logging standards that survive audit scrutiny
- Common delay patterns and how to avoid them
- Handling ambiguous edge cases in reporting decisions
- Template: Incident triage decision flow
- Real example: Cloud provider latency event classification
- Regulator feedback on borderline cases
Module 3. Third-Party Risk Oversight Under DORA
Detail evidence expectations for vendor risk assessments, especially for cloud providers and fintech partners.
12 chapters in this module
- Defining critical and important ICT third parties
- Evidence expected for due diligence on vendor security practices
- How to structure contractual clauses aligned with Article 22
- Examples of sufficient oversight for AWS and Azure environments
- Documenting risk acceptance decisions with defensible rationale
- Frequency requirements for third-party reassessments
- Internal review checklist for outsourced service providers
- Handling vendor resistance to audit rights
- Case study: Oversight of a fintech custody solution
- Regulator findings on inadequate vendor documentation
- Tools for tracking third-party control compliance
- Template: Vendor oversight evidence pack
Module 4. Operational Resilience Testing Requirements
Walk through realistic testing design and documentation that meets DORA Article 25 expectations.
12 chapters in this module
- Defining critical functions under DORA Article 4(9)
- Identifying maximum tolerable downtime and impact thresholds
- Designing scenario-based testing plans for private banking platforms
- Examples of regulator-approved test scenarios
- Documentation depth expected for audit review
- Timing and frequency benchmarks from EBA guidance
- Internal roles in test planning and execution
- Common gaps in resilience test reporting
- How to justify limited testing scope with risk-based logic
- Template: Resilience test plan outline
- Case study: Cross-border failover testing for client onboarding
- Lessons from BaFin’s the current cycle review cycle
Module 5. ICT Risk Management Framework Design
Build a defensible, DORA-aligned risk framework using referenced control sources.
12 chapters in this module
- Mapping DORA Articles to internal control domains
- Using NIST CSF as a foundational layer for ICT risk
- Integrating ISO 27001 controls where applicable
- Documenting control rationale with cross-references
- Structuring policies to reflect DORA Article 10 requirements
- Internal validation steps for control effectiveness
- Role of internal audit in framework review
- Common control gaps in financial services implementations
- How to tier controls based on critical function exposure
- Template: Control mapping matrix
- Example: Risk treatment plan for cloud migration
- Real-world audit feedback on framework completeness
Module 6. Regulatory Engagement and Documentation
Prepare for supervisory reviews with artefacts that demonstrate proactive compliance.
12 chapters in this module
- Types of documentation regulators request during DORA reviews
- How to structure cross-departmental evidence collection
- Writing internal memos that anticipate examiner questions
- Examples of successful regulator responses from peer firms
- Version control and retention standards for compliance files
- Using precedent from EBA opinions in internal justification
- Managing internal disagreements on interpretation
- Documenting rationale for delayed implementations
- Case study: Response to national regulator inquiry
- Template: Regulatory inquiry response outline
- Timing benchmarks for draft reviews
- Best practices for internal approvals
Module 7. Internal Governance and Escalation Structures
Design governance models that show clear accountability without overburdening leadership.
12 chapters in this module
- Defining roles under DORA Article 10(2) for compliance oversight
- Setting up working groups with documented decision rights
- Escalation protocols for unresolved control disagreements
- Examples of effective steering committee charters
- Documenting rationale for risk acceptance decisions
- Frequency expectations for governance meetings
- Internal reporting flows for incident follow-ups
- Case study: Governance during a major outage
- Regulator expectations on decision tracking
- Template: Governance meeting agenda and minutes
- How to show active oversight without over-documenting
- Common pitfalls in delegation frameworks
Module 8. Cross-Regulatory Alignment with MiFID II
Integrate DORA obligations with existing MiFID II compliance structures.
12 chapters in this module
- Overlap between DORA ICT risk and MiFID II conduct rules
- Aligning incident reporting with transaction reporting timelines
- Customer communication expectations during outages
- Examples of combined risk assessments
- Documenting rationale for dual compliance approaches
- Internal coordination between compliance functions
- Audit trail standards for cross-regime controls
- Case study: Dual-reporting incident under DORA and MiFID
- Regulator findings on siloed compliance teams
- Template: Combined control mapping
- Best practices for shared documentation
- Lessons from ESMA’s thematic review
Module 9. Evidence Retention and Accessibility
Structure file management to meet DORA’s evidence availability expectations.
12 chapters in this module
- Retention periods for key DORA-related documents
- Access controls for audit-readiness
- Indexing methods that allow fast retrieval
- Examples of well-organized evidence packs
- Common gaps in document accessibility
- Versioning standards for policy updates
- Internal archiving protocols
- Template: Document retention and access policy
- Case study: Regulator document request turnaround
- Lessons from DFS the current cycle review
- Digital vs. physical storage compliance
- Audit preparation checklist
Module 10. Training and Awareness Program Design
Develop training that demonstrates real understanding, not just checkbox completion.
12 chapters in this module
- Regulatory expectations for staff awareness
- Designing role-specific training modules
- Examples of effective phishing simulation programs
- Documentation needed to prove training effectiveness
- Frequency benchmarks for recurring training
- Internal audit expectations for participation logs
- Case study: Training rollout after DORA finalisation
- Common gaps in attestation tracking
- Using real incidents in training content
- Template: Training effectiveness assessment
- Best practices for remote workforce delivery
- Lessons from FCA enforcement actions
Module 11. Continuous Monitoring and Improvement
Implement feedback loops that show evolving compliance maturity.
12 chapters in this module
- Defining key risk indicators for DORA compliance
- Setting up dashboards for oversight committees
- Examples of effective monitoring cadence
- Internal review cycles for control updates
- Using audit findings to drive improvement
- Documenting lessons learned from incidents
- Case study: Post-incident control review process
- Regulator expectations on continuous improvement
- Template: Control review tracker
- Best practices for cross-functional feedback
- How to justify resource requests
- Timing benchmarks for follow-up actions
Module 12. Preparing for Regulatory Review Cycles
Anticipate and structure responses for both routine and deep-dive supervisory reviews.
12 chapters in this module
- Typical DORA review timelines and phases
- Types of questions regulators ask during interviews
- Preparing subject matter experts for discussions
- Examples of successful regulator interactions
- Common areas of focus in first-cycle reviews
- Documenting responses with clear attribution
- Internal rehearsal processes for review teams
- Case study: Preparing for an ECB-led review
- Lessons from national regulator findings
- Template: Regulator Q&A preparation guide
- Best practices for evidence indexing
- Post-review follow-up protocols
How this maps to your situation
- Preparing for first DORA compliance submission
- Responding to internal audit findings on resilience planning
- Designing vendor oversight for cloud migration
- Aligning with group-wide compliance frameworks
Before vs. after
Before
Frequent challenges on compliance decisions without ready access to regulatory text or precedent
After
Clear, source-backed reasoning for every major control choice, ready for 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: 90 minutes per module, designed for completion over 12 weeks with real-world application.
If nothing changes
Without structured grounding in DORA’s text and supervisory patterns, even well-intentioned controls can be challenged as arbitrary, delaying approvals and weakening internal influence.
How this compares to the alternatives
Unlike generic compliance overviews, this course provides verbatim regulatory text alignment, real enforcement examples, and precedents from peer institutions, so your work reflects actual supervisory expectations, not theoretical frameworks.
Frequently asked
Is this course specific to EU-based firms?
While DORA is EU-regulated, its standards influence global financial compliance. The course includes examples relevant to multinational institutions reporting into EU jurisdictions.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Can I apply this to my current role at Macquarie?
Yes. The course is designed for senior compliance practitioners in global financial institutions managing operational resilience under evolving mandates.
$199 one-time. 90 minutes per module, designed for completion over 12 weeks with real-world application..
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