A tailored course, built for your situation
Mastering DORA for Compliance Officers in Global Wealth Management
A structured path to operational resilience leadership in regulated wealth environments
$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.
Staying ahead of DORA's final implementation while balancing client confidentiality and audit rigor
The situation this course is for
Many compliance teams face reactive cycles, updating playbooks last-minute, scrambling for evidence, or deferring decisions upward. The cost isn't just time; it’s credibility.
Who this is for
Senior Compliance Officer in global financial services, focused on risk governance, audit readiness, and cross-functional control alignment
Who this is not for
Entry-level analysts, non-regulated fintech staff, or practitioners outside wealth management or European regulatory scope
What you walk away with
- Map DORA’s 11 operational resilience obligations directly to internal control workflows
- Produce audit-ready documentation packages that pass first-time review
- Anticipate EBA examiner follow-ups using structured response templates
- Lead third-party risk assessments with confidence in scope and escalation paths
- Translate DORA requirements into internal training modules for front-office teams
The 12 modules (with all 144 chapters)
Module 1. DORA’s Scope in Wealth Management Contexts
Define critical functions and material entities under DORA with precision for high-net-worth client environments.
12 chapters in this module
- Identifying client-facing services with systemic impact
- Differentiating between core and supporting functions
- Mapping DORA scope to existing internal risk inventories
- Aligning with EBA guidance on outsourcing dependencies
- Documenting rationale for inclusion or exclusion
- Integrating materiality thresholds into annual reviews
- Cross-referencing with MiFID II product governance rules
- Handling multi-jurisdictional client portfolios
- Leveraging group-wide risk assessments for efficiency
- Avoiding overextension in non-material areas
- Using flowcharts to visualize decision logic
- Preparing auditable scope statements for reviewers
Module 2. Critical Function Identification Framework
Apply a repeatable methodology to identify and validate critical functions across technology, people, and process layers.
12 chapters in this module
- Defining 'critical' using EBA qualitative and quantitative criteria
- Engaging business unit leads in function nomination
- Validating function impact on client service continuity
- Assessing duration thresholds for tolerable disruption
- Weighting financial, reputational, and legal exposure
- Documenting decision rationale for external review
- Updating critical function lists annually or after triggers
- Linking functions to specific legal entity obligations
- Using RACI matrices to assign accountability
- Avoiding common over-inclusion pitfalls
- Integrating findings into board-level risk summaries
- Building version-controlled inventories for audit trails
Module 3. ICT Incident Classification and Reporting
Structure incident logging and escalation workflows to meet DORA’s severity thresholds and reporting timelines.
12 chapters in this module
- Differentiating between minor, significant, and major incidents
- Applying EBA severity criteria to real-world scenarios
- Designing internal logging templates for consistency
- Establishing cross-functional triage processes
- Calculating outage duration and impact surface
- Determining reportable events under Article 23
- Setting internal escalation paths for speed
- Validating incident data before submission
- Using standardized narratives for regulator clarity
- Automating alerts for near-miss patterns
- Archiving incident records for audit access
- Training teams on event recognition triggers
Module 4. Digital Operational Resilience Testing
Design and oversee resilience testing programs that satisfy DORA’s requirements for depth and frequency.
12 chapters in this module
- Mapping test frequency to function criticality
- Choosing between threat-led penetration tests and scenario-based drills
- Engaging external experts under DORA-compliant contracts
- Defining success criteria for simulation outcomes
- Involving legal and comms teams in exercise design
- Capturing lessons learned in structured logs
- Prioritizing remediation actions post-test
- Linking findings to control enhancements
- Producing executive summaries for oversight
- Avoiding test fatigue in front-office units
- Integrating test results into annual reporting
- Benchmarking against peer institution practices
Module 5. Third-Party Risk Oversight Under DORA
Extend control expectations to vendors without overburdening procurement or legal teams.
12 chapters in this module
- Identifying outsourced critical functions
- Classifying third parties by risk tier
- Requiring contractual clauses on incident reporting
- Monitoring vendor compliance independently
- Conducting on-site audits for Tier 1 providers
- Using standardized questionnaires for due diligence
- Tracking contract renewal dates with DORA lens
- Enforcing right-to-audit provisions
- Validating vendor testing results
- Managing sub-contractor oversight chains
- Reporting concentration risks in annual filings
- Integrating findings into internal risk dashboards
Module 6. Information and Communication Flows
Ensure timely, accurate reporting to internal stakeholders and regulators under stress conditions.
12 chapters in this module
- Defining internal escalation timelines for incidents
- Designing comms trees for cross-border teams
- Preparing pre-approved messaging templates
- Role-specific briefing documents for leadership
- Coordinating with group compliance on disclosures
- Maintaining version control on public statements
- Recording decisions during crisis timelines
- Using encrypted channels for sensitive updates
- Integrating with existing crisis management plans
- Testing communication reliability quarterly
- Documenting comms gaps after real events
- Aligning with GDPR and MiFID II disclosure rules
Module 7. Operational Resilience Governance Structure
Clarify roles, responsibilities, and decision rights across risk, compliance, and operational functions.
12 chapters in this module
- Defining board and senior management accountability
- Assigning operational resilience ownership
- Creating oversight committees with clear mandates
- Documenting decision-making authority levels
- Integrating DORA into existing risk frameworks
- Balancing group standards with local execution
- Reporting to internal audit without duplication
- Using RACI models for cross-functional clarity
- Conducting annual governance reviews
- Updating structure after organizational changes
- Training leaders on escalation protocols
- Archiving governance decisions systematically
Module 8. Audit Preparation and Evidence Packaging
Produce clean, comprehensive documentation packages that anticipate reviewer depth and reduce follow-up cycles.
12 chapters in this module
- Mapping DORA articles to internal policies
- Creating crosswalks between regulation and controls
- Using color-coding to show implementation status
- Compiling evidence directories by requirement
- Writing clear narratives for complex areas
- Including screenshots or logs where applicable
- Versioning documents for audit inspection
- Organizing folders by audit trail logic
- Anticipating follow-up questions with FAQs
- Using checklists for consistency across cycles
- Integrating feedback from prior audits
- Training teams to respond under review pressure
Module 9. Stress Testing Critical Functions
Design meaningful stress scenarios that test recovery capacity under realistic conditions.
12 chapters in this module
- Identifying plausible threat scenarios for wealth services
- Defining stress duration and impact assumptions
- Modeling client behavior during outages
- Testing recovery time and recovery point objectives
- Involving IT and operations in scenario design
- Validating backup and failover mechanisms
- Measuring staff response under pressure
- Capturing performance metrics during drills
- Reporting outcomes to risk committees
- Adjusting thresholds based on findings
- Avoiding overly theoretical scenarios
- Linking results to business continuity plans
Module 10. Regulatory Change Integration
Stay ahead of DORA revisions and national transposition differences with structured monitoring.
12 chapters in this module
- Tracking EBA and ECB publications systematically
- Subscribing to ESMA and national regulator alerts
- Using change logs to track internal updates
- Assigning ownership for monitoring tasks
- Prioritizing changes by impact and urgency
- Updating policies within defined timelines
- Training staff on new requirements
- Testing implementation through walkthroughs
- Reporting change readiness to leadership
- Archiving rationale for decisions not to adopt
- Integrating updates into audit cycles
- Sharing insights with group compliance teams
Module 11. Internal Training and Awareness
Develop targeted training modules that build DORA fluency across departments without overwhelming staff.
12 chapters in this module
- Assessing audience-specific knowledge gaps
- Designing short, role-based learning units
- Using real incident examples for context
- Creating quiz formats for knowledge checks
- Including compliance certifications of completion
- Scheduling refresher sessions annually
- Measuring training effectiveness post-event
- Distributing materials via secure portals
- Avoiding generic, off-the-shelf content
- Aligning with internal comms calendars
- Tracking completion across teams
- Updating modules after regulatory changes
Module 12. Implementation Playbook Finalization
Synthesize all components into a living, organization-specific DORA playbook.
12 chapters in this module
- Assembling a master index of artifacts
- Linking policies, evidence, and roles
- Creating a living document update process
- Assigning ownership for version control
- Integrating with existing compliance platforms
- Using metadata tagging for searchability
- Storing backups in secure repositories
- Testing retrieval under time pressure
- Sharing with new hires during onboarding
- Auditing access logs for security
- Gathering feedback for continuous improvement
- Handing over to permanent owners
How this maps to your situation
- Initial DORA scoping phase
- Annual control refresh cycle
- Third-party contract renewal window
- Pre-audit preparation period
Before vs. after
Before
DORA compliance feels fragmented, reactive, and dependent on cross-team coordination that slows decisions.
After
You lead with a unified, documented framework, anticipating requirements, producing evidence faster, and guiding others with confidence.
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 of focused learning, plus optional deep-dive exercises for full implementation.
If nothing changes
Without structured mastery, teams default to over-documentation, delayed responses, or inconsistent application, increasing regulatory exposure and internal friction.
How this compares to the alternatives
Generic compliance courses cover DORA superficially. This course delivers institution-specific structure, artifact templates, and execution logic tailored to global wealth management contexts.
Frequently asked
Is this course focused only on European institutions?
It’s designed for compliance officers in EU-regulated wealth institutions, but the control logic applies to any firm with European clients or operations.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Can I share this with my team?
Each enrollment is individual. Team licenses are available upon request.
$199 one-time. 90 minutes of focused learning, plus optional deep-dive exercises for full implementation..
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