A tailored course, built for your situation
Mastering DORA; A Step-by-Step Guide to Operational Resilience in Wealth Management
A practical roadmap for VP-level practitioners to align with DORA’s new requirements and extend governance influence within current mandates.
$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.
Most compliance leaders wait for directives. You can shape them.
The situation this course is for
Frameworks like DORA are often treated as overhead, not opportunity. That mindset leaves influence on the table, especially when regulators expect proactive postures.
Who this is for
Senior compliance, risk, and governance leaders in financial services who are expected to deliver resilience outcomes without formal authority over all moving parts.
Who this is not for
Junior analysts, external auditors, or practitioners outside financial services regulated under DORA or equivalent regimes.
What you walk away with
- Structured DORA implementation roadmap aligned to wealth management workflows
- Ability to influence cross-functional decisions from within current role
- Stronger evidence architecture that reduces audit rework
- Clarity on where to apply discretion without overstepping mandates
- Internal reputation as a first-mover on regulatory narrative design
The 12 modules (with all 144 chapters)
Module 1. DORA’s Core Requirements and the Wealth Management Context
Understand how DORA’s mandates translate into operational expectations specific to private wealth and asset management firms. This module defines scope, thresholds, and reporting obligations with precision.
12 chapters in this module
- Overview of DORA’s regulatory scope and intent
- Mapping DORA to existing PWM compliance frameworks
- Key differences between DORA and legacy resilience standards
- How wealth management risk profiles trigger DORA classification
- Threshold calculations for materiality determination
- Critical functions vs. support services in client-facing teams
- Defining 'significant' disruption in advisory workflows
- Jurisdictional reach: US operations under EU regulation
- Timeline for compliance under final EBA RTS
- Interaction between DORA and SEC/FINRA expectations
- Client communication requirements during disruptions
- Common misreads of Article 5 classification rules
Module 2. Governance Structures That Own the Narrative
Build lightweight but authoritative governance models that position you as the central node for resilience decisions, without requiring top-down restructuring.
12 chapters in this module
- Designing tiered governance committees for rapid response
- Assigning clear RACI across incident scenarios
- Incorporating third parties into escalation paths
- Documenting decision rights within current hierarchy
- Creating recurring review rhythms tied to risk cycles
- Integrating legal and compliance early in policy drafting
- Balancing central control with business unit agility
- Handling conflicts between geographic jurisdictions
- Building credibility with senior stakeholders
- Measuring governance effectiveness without new tools
- Onboarding new members into established frameworks
- Version control for governance charters and SOPs
Module 3. Incident Classification and Escalation Protocols
Define clear, auditable rules for classifying disruptions so that responses are consistent, timely, and defensible to regulators.
12 chapters in this module
- Developing a classification matrix for operational events
- Defining criteria for Level 1 vs Level 2 incidents
- Time-based thresholds for mandatory reporting
- Automated triggers from monitoring systems
- Human judgment in ambiguous event scenarios
- Maintaining classification logs for audit trail
- Cross-referencing with SOX and SEC incident logs
- Handling duplicate alerts across platforms
- Documenting rationale for downgrading incidents
- Coordination with cybersecurity incident teams
- Escalation paths for client-impacting outages
- Role of legal in pre-reporting review
Module 4. Third-Party Oversight and Subsidiary Accountability
Master the process of ensuring vendors and subsidiaries meet DORA obligations, even when direct control is limited.
12 chapters in this module
- Identifying critical third parties under DORA
- Assessing vendor risk posture pre-contract
- Incorporating DORA clauses into procurement agreements
- Right-to-audit provisions and enforcement mechanisms
- Subsidiary alignment with parent-level resilience plans
- Monitoring vendor compliance through dashboards
- Conducting remote inspections and evidence requests
- Handling non-compliance without contractual breach
- Vendor exit planning and continuity safeguards
- Mapping vendor dependencies in client service chains
- Managing offshore teams under different regulatory regimes
- Documenting oversight activities for regulators
Module 5. Internal Audit Triggers and Evidence Architecture
Design evidence workflows that anticipate auditor needs and reduce follow-up cycles.
12 chapters in this module
- Predicting audit focus areas from DORA text
- Building evidence bundles for each control point
- Integrating documentation into daily operations
- Using versioned templates for consistency
- Tagging artefacts for easy retrieval
- Automating log collection from core systems
- Aligning with internal audit calendar
- Pre-audit walkthroughs with compliance team
- Handling requests for unstructured data
- Redacting sensitive client information safely
- Storing evidence in compliant repositories
- Audit trail retention policies under DORA
Module 6. Resilience Testing and Scenario Design
Plan and execute tests that validate resilience without disrupting client service or compliance obligations.
12 chapters in this module
- Defining test objectives tied to DORA requirements
- Selecting scenarios based on historical incident data
- Designing tabletop exercises for leadership teams
- Simulating multi-day outages in test environments
- Involving legal in hypothetical regulator Q&A
- Testing communication plans with real clients
- Measuring success beyond uptime metrics
- Documenting lessons learned for future cycles
- Scheduling tests outside peak business hours
- Incorporating results into annual planning
- Sharing outcomes without exposing vulnerabilities
- Third-party participation in joint drills
Module 7. Documentation Standards and the Single Source of Truth
Establish clear documentation practices that ensure regulators see coherence across teams and timelines.
12 chapters in this module
- Defining minimum documentation standards per control
- Creating a centralized document repository
- Standardizing naming conventions and metadata
- Ensuring accessibility across global teams
- Version control and approval workflows
- Handling legacy documentation in migration
- Integrating with existing GRC platforms
- Audit readiness checklists for periodic reviews
- Documenting assumptions and exceptions
- Linking policies to training records
- Retention periods aligned with regulatory cycles
- Exporting documentation for regulatory submission
Module 8. Regulatory Communication Protocols
Develop clear, pre-approved templates and escalation paths for timely, accurate reporting to regulators.
12 chapters in this module
- Identifying reportable events under DORA
- Drafting initial and follow-up notifications
- Legal review process for external disclosures
- Timing requirements for submission
- Coordinating with central regulatory team
- Handling cross-border reporting obligations
- Using standardized formats for consistent data
- Updating reports as new information emerges
- Internal approval workflows before sending
- Tracking acknowledgement from regulators
- Common reasons for regulator follow-ups
- Post-reporting review and continuous improvement
Module 9. Stakeholder Alignment and Cross-Functional Coordination
Secure ongoing buy-in from technology, legal, and business units without formal authority.
12 chapters in this module
- Identifying key stakeholders per resilience domain
- Building credibility through early involvement
- Creating shared goals around client protection
- Facilitating joint problem-solving sessions
- Translating technical constraints for business leaders
- Communicating urgency without alarming tone
- Managing competing priorities during crises
- Establishing feedback loops across departments
- Recognizing contributions publicly
- Incentivizing collaboration outside reporting lines
- Conflict resolution when mandates overlap
- Maintaining momentum after initial rollout
Module 10. Training and Awareness for Ongoing Compliance
Implement sustainable training programs that keep teams prepared and auditors satisfied.
12 chapters in this module
- Defining required training scope under DORA
- Developing role-specific learning paths
- Using real incident data in training scenarios
- Delivering annual refreshers efficiently
- Tracking completion and knowledge gaps
- Integrating training into onboarding workflows
- Using e-learning platforms for scalability
- Measuring effectiveness beyond completion rates
- Gathering feedback for continuous improvement
- Auditing training records for completeness
- Handling remote and hybrid team participation
- Updating content after regulatory changes
Module 11. Continuous Monitoring and Improvement Cycles
Institutionalize feedback loops that turn resilience from project to practice.
12 chapters in this module
- Setting KPIs for operational resilience
- Automating monitoring of control effectiveness
- Scheduling periodic control self-assessments
- Incorporating findings into risk committee reports
- Updating playbooks after incidents or tests
- Benchmarking against peer institutions
- Identifying emerging risks from industry news
- Adjusting scope based on business evolution
- Engaging external experts for validation
- Reducing false positives in alert systems
- Prioritizing improvements with limited resources
- Reporting upward on maturity progression
Module 12. Sustaining Momentum After Initial Compliance
Ensure DORA isn’t a one-time effort but a lasting capability embedded in day-to-day operations.
12 chapters in this module
- Avoiding complacency post-initial implementation
- Refreshing leadership engagement quarterly
- Integrating resilience into performance goals
- Celebrating wins and reinforcing culture
- Onboarding new leaders into the framework
- Conducting annual maturity assessments
- Updating documentation for new regulations
- Scaling practices to new business lines
- Sharing best practices across regions
- Preparing for regulatory review cycles
- Building talent pipelines for continuity
- Evolving the program as threat landscape changes
How this maps to your situation
- DORA implementation timeline
- Wealth management operational structure
- Cross-jurisdictional compliance expectations
- Internal audit and regulatory scrutiny cycles
Before vs. after
Before
Compliance efforts feel reactive, with limited influence beyond assigned tasks.
After
You lead resilience design within your current role, shaping policies and earning trust across functions.
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 four weeks, designed for busy practitioners.
If nothing changes
Without structured implementation, DORA remains a compliance burden rather than a platform for influence, leaving strategic input to others and increasing exposure to regulator scrutiny.
How this compares to the alternatives
Unlike generic compliance webinars or broad risk frameworks, this course delivers a focused, step-by-step path tailored to DORA’s requirements and the realities of wealth management operations.
Frequently asked
Who is this course for?
Senior risk, compliance, and governance professionals in financial services responsible for operational resilience under DORA.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Can I apply this without formal authority?
Yes, this course teaches how to lead from within your current role using influence, clarity, and structured outputs.
$199 one-time. Approximately 90 minutes per week over four weeks, designed for busy practitioners..
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