A tailored course, built for your situation
M&A escalations and regulator-facing reviews handled under DORA
Concrete handoffs from senior sponsors in wealth operations compliance
$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 looped in late on high-visibility compliance escalations
The situation this course is for
High-impact work in wealth operations, especially around M&A and regulatory reviews, often flows through established channels that bypass even senior managers. Without direct routing, you're reactive, not central, even when your expertise is what closes the loop.
Who this is for
Senior Manager in Wealth Operations at a global financial institution, responsible for compliance execution under evolving regulatory regimes like DORA
Who this is not for
Junior analysts, general operations staff, or compliance practitioners outside financial services with no exposure to regulator-facing deliverables
What you walk away with
- Own first-draft authority on DORA-mapped control documentation
- Receive escalation packets from peer teams before remediation begins
- Produce regulator-ready review packets with precedent-backed reasoning
- Lead vendor review tracks end to end without oversight loops
- Become the default recipient for pre-filing M&A compliance integration packets
The 12 modules (with all 144 chapters)
Module 1. Establishing authority under DORA Article 5
Define your role in governance mapping and how to claim ownership of high-visibility work under regulator-facing deadlines.
12 chapters in this module
- DORA Article 5 scope interpretation
- Mapping internal roles to EBA expectations
- Identifying sponsor-backed handoff points
- Leveraging MiFID II crossover obligations
- Setting precedence in control ownership
- Documenting decision logic for audit trail
- Precedent use in cross-team disputes
- Version control for policy drafts
- Escalation triggers from peer teams
- Internal routing protocols for legal teams
- Ownership claim timing windows
- First-response templates for regulator queries
Module 2. Regulator-facing packet construction
Build review-ready submissions that withstand EBA scrutiny using structured templates and source-backed evidence.
12 chapters in this module
- Structure of EBA response packets
- Evidence tagging for audit trails
- Cross-referencing DORA and MiFID II
- Template library access
- Versioning control logs
- Peer review bypass conditions
- Pre-submission checklist build
- Common EBA follow-up questions
- Response timing benchmarks
- Internal approval paths
- Redaction workflows
- Secure transmission protocols
Module 3. M&A integration compliance handoffs
Position yourself as the first recipient of integration papers by standardising intake and evidence requirements.
12 chapters in this module
- M&A packet intake standards
- First-draft control mapping
- Vendor due diligence triggers
- Cross-jurisdictional alignment
- Data lineage documentation
- Legacy system risk flags
- Compliance exception tracking
- Integration timeline pressure points
- Stakeholder sign-off sequencing
- Regulatory overlap analysis
- Board-facing summary prep
- Post-close audit linkage
Module 4. Vendor review track ownership
Take end-to-end control of third-party assessments under DORA without oversight loops.
12 chapters in this module
- Vendor tier classification
- Review frequency by risk band
- Document request templates
- Evidence sufficiency thresholds
- Escalation paths for non-response
- Onsite audit coordination
- Compliance scorecard updates
- Remediation tracking systems
- Contractual obligation mapping
- Insurance requirement checks
- Cyber resilience testing logs
- Final sign-off delegation
Module 5. Escalation routing from peer teams
Design workflows that make your desk the default starting point for urgent compliance escalations.
12 chapters in this module
- Escalation taxonomy build
- Routing rule configuration
- Urgency classification matrix
- Peer team handover protocols
- Auto-assignment logic setup
- Status transparency dashboards
- Priority override conditions
- Escalation fatigue prevention
- Cross-border coordination rules
- Regulatory deadline mapping
- Internal SLA tracking
- Resolution verification steps
Module 6. Control evidence packet repeatability
Create templates that compound across audits and reduce time-to-completion for future cycles.
12 chapters in this module
- Evidence packet modularity
- Template version control
- Automated tagging systems
- Cross-audit reuse conditions
- Stakeholder approval pre-seeding
- Common element libraries
- Jurisdiction-specific variants
- Ownership handover protocols
- Retention schedule alignment
- Searchable metadata build
- Access control settings
- Audit trail completeness check
Module 7. Precedent-backed decision narratives
Arm yourself with documented examples and framework logic to defend positions during reviews.
12 chapters in this module
- Precedent collection strategy
- Internal case law curation
- Framework cold recall drills
- Response reasoning templates
- Peer pushback scenarios
- Regulator Q&A simulations
- Cross-functional alignment logs
- Decision rationale archiving
- Version comparison logic
- Stakeholder communication logs
- Lessons learned integration
- Preemptive documentation triggers
Module 8. DORA to MiFID II control mapping
Align operational resilience requirements with investor protection obligations using shared evidence.
12 chapters in this module
- Control overlap analysis
- Evidence dual-use protocols
- Audit trail unification
- Cross-framework terminology
- Gap identification methods
- Remediation prioritisation
- Stakeholder alignment tactics
- Reporting consistency
- Timeline sync points
- Resource allocation models
- Risk heat mapping
- Executive summary alignment
Module 9. Sponsor-backed workflow initiation
Design and deploy processes that senior leaders delegate as default handoff tracks.
12 chapters in this module
- Sponsor engagement triggers
- Workflow design for adoption
- Pilot testing frameworks
- Change management integration
- User feedback loops
- Performance benchmarking
- Leadership visibility settings
- Process documentation standards
- Training material creation
- Handover checklist build
- Continuous improvement cycle
- Success metric definition
Module 10. Secure document handling under DORA
Implement protocols that ensure confidentiality and integrity of high-sensitivity compliance materials.
12 chapters in this module
- Classification schema setup
- Access control matrix
- Encryption standards
- Audit trail requirements
- Leak prevention protocols
- Third-party sharing rules
- Device security checks
- Remote access policies
- Incident response steps
- Breach simulation drills
- Data retention schedules
- Disposal certification
Module 11. Regulatory deadline pressure management
Optimise planning and execution cycles to meet strict timelines without compromising quality.
12 chapters in this module
- Deadline forecasting models
- Buffer time allocation
- Resource surge planning
- Stakeholder alignment timing
- Draft iteration scheduling
- Review cycle compression
- Contingency planning
- Priority triage frameworks
- Status reporting rhythm
- Stakeholder escalation paths
- Last-mile validation steps
- Post-deadline review process
Module 12. Sustaining authority through leadership changes
Build artefacts and protocols that survive organisational shifts.
12 chapters in this module
- Documented playbook creation
- Knowledge transfer workflows
- Succession planning integration
- Onboarding integration
- Leadership change notification
- Authority re-endorsement
- Process audit after transition
- Stakeholder re-alignment
- Version control handover
- Archive access provisioning
- Feedback loop redesign
- Continuous improvement update
How this maps to your situation
- During M&A integration when compliance papers arrive
- When regulator-facing deadlines approach
- When peer teams initiate escalations
- When vendor reviews require sign-off
Before vs. after
Before
Waiting for others to route high-stakes work to you, even when your expertise is central to closing the loop.
After
M&A integration packets, regulator-facing reviews, and peer-team escalations land directly on your desk, owned end to end.
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 3 hours per week over 4 weeks to complete core modules, with optional deep-dive paths for complex artefacts.
If nothing changes
Remaining outside the first wave of handoffs means continued reactive positioning, missed leadership opportunities, and deferred recognition even as workload increases.
How this compares to the alternatives
Generic compliance courses cover framework theory but miss the handoff mechanics that determine who owns high-impact work. This course focuses exclusively on the protocols, templates, and sponsor-backed workflows that route sensitive deliverables to you first.
Frequently asked
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Does the course cover both DORA and MiFID II?
Yes, with a focus on control mapping and evidence reuse between DORA and MiFID II frameworks.
Is this relevant if my team hasn't started formal DORA implementation?
Yes. The course prepares you to lead when the first packets arrive, positioning you as the go-to owner before execution begins.
$199 one-time. Approximately 3 hours per week over 4 weeks to complete core modules, with optional deep-dive paths for complex artefacts..
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