A tailored course, built for your situation
Influence Across More Business Units with DORA
A 199 course tailored for Jake Duffy to extend governance impact across the firm Asset Management
$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.
Who this is for
Mid-senior compliance or risk practitioner in financial services, operating at the intersection of regulation, cross-functional coordination, and implementation rigor
Who this is not for
Entry-level analysts, consultants without domain depth, or professionals outside financial services governance
What you walk away with
- Map DORA controls to multi-unit workflows across asset management, risk, and compliance
- Design governance artefacts that gain adoption in non-compliance business units
- Lead cross-functional alignment sessions with confidence in DORA scope and boundaries
- Anticipate regional and functional pushback and pre-empt with documented rationales
- Become the internal reference for DORA interpretation across departments
The 12 modules (with all 144 chapters)
Module 1. DORA's Scope in Financial Asset Management
Understand how DORA applies specifically to asset management functions within global banks and trusts. Explore enforcement expectations and boundary-setting across overlapping regulatory regimes.
12 chapters in this module
- What DORA covers in asset management
- How it differs from MiFID II scope
- Jurisdictional reach of DORA
- Interaction with internal risk frameworks
- Mapping to existing compliance functions
- Key dates in implementation cycle
- DORA vs. national transposition laws
- Impact on delegation structures
- Third-party oversight under DORA
- Defining critical and important functions
- Thresholds for classification
- Documentation standards for regulators
Module 2. Cross-Unit Control Mapping
Learn how to translate DORA controls into language and workflows that resonate across compliance, IT, operations, and legal teams. Focus on clarity, ownership, and traceability.
12 chapters in this module
- Control decomposition by function
- Assigning control owners outside compliance
- Translating technical controls for business units
- Creating unit-specific playbooks
- Version control across teams
- Centralized vs decentralized ownership
- Control validation workflows
- Evidence collection per unit
- Integrating with incident reporting
- Linking to existing risk registers
- Change management for updates
- Audit trail requirements
Module 3. Stakeholder Alignment Frameworks
Design engagement models that secure buy-in from regional offices, legal teams, and senior managers without escalating to leadership.
12 chapters in this module
- Identifying influence paths
- Mapping decision authority by region
- Engagement timing for maximum uptake
- Pre-empting functional resistance
- Using peer champions
- Tailoring messaging by audience
- Documented escalation paths
- Internal consultation cycles
- Feedback loops in design phase
- Building cross-unit working groups
- Securing sign-off without delays
- Managing conflicting priorities
Module 4. DORA Evidence Architecture
Build an evidence structure that satisfies auditors and scales across audits, regions, and lines of business without duplication.
12 chapters in this module
- Evidence types per control
- Central repository design
- Access permissions by team
- Standardizing naming conventions
- Linking to policy documents
- Automated collection triggers
- Retention rules by jurisdiction
- Cross-referencing with SOC 2
- Versioning across updates
- Gap tracking methods
- Audit readiness checklists
- Internal review workflows
Module 5. Vendor Oversight Under DORA
Extend governance reach into third-party relationships with structured review tracks and clear accountability.
12 chapters in this module
- Classifying vendor criticality
- Due diligence requirements
- Contractual clauses for compliance
- Ongoing monitoring frequency
- Incident response coordination
- Right-to-audit provisions
- Subcontractor oversight
- Geographic compliance risks
- Performance metrics for vendors
- Exit strategies for non-compliance
- Mapping vendors to functions
- Documentation templates
Module 6. Incident Reporting Protocols
Implement standardized incident detection, classification, and escalation workflows that meet DORA's strict timelines.
12 chapters in this module
- Defining reportable incidents
- Classification criteria
- Internal triage process
- Notification timelines
- Regulator communication templates
- Cross-border coordination
- Post-incident review structure
- Lessons-learned integration
- Testing reporting workflows
- False positive handling
- Documentation standards
- Audit trail preservation
Module 7. Resilience Testing Programs
Design and run DORA-compliant resilience tests that generate confidence across leadership and regulators.
12 chapters in this module
- Scope definition for tests
- Frequency by function type
- Third-party involvement rules
- Designing realistic scenarios
- Stress testing parameters
- Participant onboarding
- Test documentation standards
- Post-test review structure
- Gap remediation tracking
- Integrating with BC plans
- Reporting to senior management
- External validation options
Module 8. Policy Harmonization Techniques
Align DORA policies with existing firm-wide standards without creating redundancy or conflict.
12 chapters in this module
- Identifying overlapping policies
- Creating unified control statements
- Version control across frameworks
- Change approval workflows
- Stakeholder consultation cycles
- Exception handling
- Integration with ISO 27001
- Mapping to COBIT domains
- Policy distribution methods
- Training integration
- Review and renewal cycles
- Ownership handoffs
Module 9. Regional Implementation Playbooks
Adapt DORA governance for local execution across EEA, UK, and global offices while maintaining central oversight.
12 chapters in this module
- Local legal overlays
- Translation of core principles
- Regional control ownership
- Central monitoring mechanisms
- Crisis coordination design
- Time zone challenges
- Language considerations
- Cultural approaches to compliance
- Regional audit readiness
- Escalation triage paths
- Consolidated reporting
- Leadership engagement models
Module 10. Training and Awareness Rollout
Deploy targeted training that ensures DORA understanding across non-compliance roles without overburdening teams.
12 chapters in this module
- Audience segmentation
- Role-specific learning paths
- Content format selection
- Delivery timing
- Comprehension checks
- Leadership messaging
- Ongoing reinforcement
- New hire onboarding
- Tracking completion
- Feedback integration
- Refresher cycles
- Performance integration
Module 11. Audit Preparation and Response
Prepare for DORA audits with confidence using consistent, pre-validated documentation and coordination protocols.
12 chapters in this module
- Auditor selection process
- Document packaging standards
- Pre-audit walkthroughs
- Interview preparation
- Response timeframes
- Defensible rationale development
- Cross-unit coordination
- Finding classification
- Remediation planning
- Follow-up evidence
- Public disclosure rules
- Internal reporting
Module 12. Sustained Governance Adoption
Ensure DORA practices become embedded in daily operations rather than remaining a project-based initiative.
12 chapters in this module
- KPIs for governance health
- Leadership reporting rhythms
- Integration with performance goals
- Continuous improvement cycle
- Lessons from past audits
- Benchmarking against peers
- Team incentives for compliance
- Resource planning
- Succession planning
- Governance maturity models
- External recognition
- Future regulation readiness
How this maps to your situation
- Facing cross-functional resistance to DORA roll-out
- Managing inconsistent control adoption across regions
- Preparing for first internal DORA audit
- Scaling governance beyond compliance team
Before vs. after
Before
DORA governance work is siloed within compliance, facing delays and inconsistent adoption across business units.
After
DORA frameworks are adopted across asset management, risk, and operations with clear ownership and sustained engagement.
What's included with your purchase
- 12 modules with 12 chapters each (144 chapters total)
- 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 3 hours per module, designed for integration into regular work cycles.
How this compares to the alternatives
Unlike generic compliance courses, this program focuses exclusively on DORA’s implementation in asset management contexts, with tailored strategies for cross-unit influence and sustained adoption, featuring concrete artefacts, not abstract theory.
Frequently asked
Is this course specific to financial institutions?
Yes. Every module is grounded in the operational and regulatory realities of global financial asset management under DORA.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help me work across teams?
Yes. The course teaches how to design governance artefacts and workflows that gain adoption beyond compliance, across risk, operations, and regional offices.
$199 one-time. Approximately 3 hours per module, designed for integration into regular work cycles..
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