A tailored course, built for your situation
Mastering DORA; A Step-by-Step Guide to Operational Resilience in Capital Markets
A tailored implementation playbook for senior risk leaders navigating the final EBA timelines.
$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.
Despite early planning, DORA evidence collection is consuming 3x more effort than projected across peer firms.
The situation this course is for
Regulatory dry runs are exposing gaps in test coverage, reporting latency, and cross-functional alignment, especially where governance meets infrastructure. Teams are stuck reconciling control objectives with technical implementation, often missing deadlines or inviting follow-up scrutiny.
Who this is for
Senior risk and compliance leader in global banking, ex-big4, now accountable for non-financial risk delivery under tight regulator timelines.
Who this is not for
This course is not for junior analysts or auditors looking for awareness-level overviews. It is not for vendors selling tooling. It assumes ownership of end-to-end operational resilience delivery.
What you walk away with
- Map DORA requirements directly to existing control environments without rework
- Produce regulator-ready evidence packs in under 10 business days
- Lead cross-functional testing cycles with clear ownership lanes
- Structure documentation that clears internal reviews on first submission
- Become the internal reference point for DORA-related escalations
The 12 modules (with all 144 chapters)
Module 1. DORA's Five Core Objectives and Your Current Risk Architecture
Align the EBA’s resilience expectations with your firm’s existing control layers, identifying coverage gaps and over-engineering risks.
12 chapters in this module
- Understanding the EBA’s definition of operational disruption
- Mapping trading platform dependencies to critical functions
- Inventorying third-party service providers under scope
- Assessing data flow continuity across regions
- Classifying internal services by materiality threshold
- Benchmarking current BCP coverage against DORA testing rules
- Identifying single points of failure in core systems
- Evaluating incident response roles against governance policy
- Documenting technology ownership for audit trail readiness
- Establishing baseline resilience metrics for reporting
- Prioritizing remediation based on regulator scrutiny patterns
- Integrating findings into the annual oversight cycle
Module 2. Critical Functions Identification and Materiality Assessments
Apply a repeatable method to classify services, avoiding under- or over-scoping common in first-time implementations.
12 chapters in this module
- Defining 'critical' using EBA’s 10% revenue or client loss threshold
- Calculating financial exposure for derivatives clearing units
- Estimating client impact for cross-border custody outages
- Weighting services by strategic importance to leadership
- Validating classifications with control owners
- Documenting rationale for challenge-ready summaries
- Updating assessments quarterly without full re-runs
- Flagging outlier services for executive review
- Using heat maps to visualize concentration risk
- Linking critical function status to vendor risk tiers
- Automating threshold checks in control reporting
- Integrating findings into board-level risk appetite statements
Module 3. Third-Party Risk Mapping Under DORA Annex 1
Translate vendor contracts and SLAs into regulator-acceptable mappings of control ownership and escalation paths.
12 chapters in this module
- Identifying outsourced functions subject to DORA oversight
- Classifying cloud providers under CSP rules
- Reviewing contract clauses for audit rights and access
- Mapping incident response responsibilities to vendor teams
- Validating disaster recovery commitments with evidence
- Assessing sub-outsourcing visibility for Tier 2 providers
- Creating vendor-specific test scenarios
- Documenting control reliance decisions
- Maintaining challenge-ready SIG responses
- Integrating vendor findings into group-wide reporting
- Updating mappings after M&A or divestiture
- Flagging non-compliant providers for remediation
Module 4. Operational Resilience Testing Design and Cadence
Design annual test plans that satisfy both internal audit and regulator expectations without overburdening teams.
12 chapters in this module
- Defining minimum test frequency by criticality tier
- Creating realistic disruption scenarios for core platforms
- Involving business continuity teams in test planning
- Setting success criteria based on recovery time objectives
- Conducting table-top exercises with senior stakeholders
- Running technical failover drills without client impact
- Documenting test results for oversight committees
- Reporting test coverage gaps to executive management
- Incorporating lessons into control enhancements
- Scheduling tests outside peak trading cycles
- Aligning with FFIEC and OSFI peer benchmarks
- Preserving test artifacts for follow-up requests
Module 5. Impact Tolerance Frameworks and Business Acceptance
Secure validated sign-off from business leads on disruption thresholds, avoiding last-minute disputes.
12 chapters in this module
- Defining impact tolerance in financial and operational terms
- Engaging line managers to approve disruption windows
- Quantifying reputational risk for client-facing systems
- Aligning tolerances with product group risk appetite
- Documenting approvals in writing or system logs
- Handling objections from revenue-generating units
- Updating tolerances after business model changes
- Linking tolerance breaches to incident escalation paths
- Reporting exceptions to group risk committee
- Using tolerances to guide investment in redundancy
- Benchmarking against peer firm tolerance levels
- Maintaining version-controlled tolerance registers
Module 6. Evidence Collection and Internal Audit Readiness
Build living documentation that passes internal challenge and reduces regulator follow-up.
12 chapters in this module
- Identifying required evidence per EBA reporting template
- Sourcing control logs from IAM and cloud platforms
- Validating backup integrity with technical teams
- Compiling incident response records for audit
- Organizing documentation by control objective
- Creating summary memos for senior reviewers
- Using templates to standardize cross-team submissions
- Applying version control to all evidence files
- Setting automated reminders for evidence refresh
- Integrating with GRC platform reporting cycles
- Reducing last-minute scrambles before review dates
- Preparing for targeted regulator inquiries
Module 7. Regulator-Facing Communication and Disclosure
Structure responses that build confidence, not follow-up questions, using proven templates from cleared submissions.
12 chapters in this module
- Anticipating EBA follow-up questions on test coverage
- Writing concise summaries of critical function mappings
- Disclosing third-party reliance with appropriate caveats
- Presenting resilience metrics without overclaiming
- Using visual aids to simplify complex interdependencies
- Aligning messaging with group communications policy
- Preparing Q&A briefs for supervisory meetings
- Incorporating feedback from prior regulator interactions
- Maintaining consistency across jurisdictions
- Flagging sensitive disclosures for legal review
- Archiving submission materials for traceability
- Updating disclosures after control changes
Module 8. Cross-Functional Governance and Committee Reporting
Streamline oversight committee inputs with standardized, action-oriented updates that drive decisions.
12 chapters in this module
- Defining roles in the operational resilience governance body
- Scheduling regular reviews aligned with fiscal calendar
- Creating dashboard views for committee members
- Highlighting risks requiring executive intervention
- Tracking action items to resolution
- Integrating DORA status into broader risk reports
- Presenting progress against regulator timelines
- Reporting resource constraints to leadership
- Escalating unresolved conflicts to higher authority
- Documenting decisions for audit trail purposes
- Updating governance charters after scope changes
- Ensuring external auditor access to key artifacts
Module 9. Change Management After M&A and Divestiture
Integrate new entities into DORA scope and exit legacy providers without compliance gaps.
12 chapters in this module
- Assessing target firm resilience posture pre-close
- Identifying material functions in acquired units
- Conducting gap assessments within 90 days
- Incorporating new vendors into third-party register
- Extending testing cycles to new systems
- Updating impact tolerances for merged operations
- Consolidating documentation frameworks
- Retiring legacy controls with evidence
- Notifying regulators of scope changes
- Aligning timelines with integration milestones
- Preserving audit trails during system sunsetting
- Updating group-wide risk reports
Module 10. Technology Architecture Alignment and Dependency Mapping
Translate technical architecture into resilience assessments that non-technical reviewers can validate.
12 chapters in this module
- Engaging enterprise architects early in scoping
- Mapping application dependencies to critical functions
- Identifying data replication and failover paths
- Validating cloud provider resilience commitments
- Documenting multi-region deployment strategies
- Assessing container orchestration stability
- Reviewing CI/CD pipeline controls for resilience
- Ensuring monitoring tools cover all critical layers
- Linking technical debt to resilience risk ratings
- Incorporating findings into vendor selection
- Updating maps after infrastructure changes
- Preserving maps for onboarding and audit
Module 11. Incident Response and Escalation Under DORA
Ensure live incidents are managed in line with declared tolerances and reporting obligations.
12 chapters in this module
- Defining incident severity levels aligned with DORA
- Triggering escalation based on impact thresholds
- Notifying governance body within defined timeframes
- Documenting response actions for review
- Coordinating with legal and comms teams
- Reporting to regulators per EBA timelines
- Conducting post-mortems with action tracking
- Integrating lessons into control updates
- Testing incident playbooks annually
- Updating roles based on team changes
- Preserving records for regulator access
- Aligning with ISO 22301 continuity standards
Module 12. Sustaining Compliance Beyond Initial Deadline
Embed resilience into ongoing operations so readiness doesn’t depend on individual owners.
12 chapters in this module
- Institutionalizing annual review cycles
- Integrating DORA checks into change management
- Training new hires on resilience obligations
- Updating documentation proactively
- Auditing control effectiveness continuously
- Benchmarking against evolving peer practices
- Updating playbooks after regulatory changes
- Reducing reliance on tribal knowledge
- Documenting handovers between roles
- Preserving institutional memory in systems
- Aligning with future revisions of EBA guidelines
- Measuring maturity over time
How this maps to your situation
- Initial scoping and control alignment
- Cross-functional testing execution
- Regulator interaction and disclosure
- Ongoing governance and sustainability
Before vs. after
Before
DORA responsibilities are managed reactively, with fragmented evidence, inconsistent vendor mappings, and last-minute test preparations.
After
Your team produces regulator-ready submissions on demand, with clear ownership, documented playbooks, and recognized authority across risk committees.
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 total, designed for completion in one focused session.
If nothing changes
Without structured implementation, teams will continue to over-rotate on documentation, miss testing deadlines, and face increased regulator scrutiny during on-site visits.
How this compares to the alternatives
Unlike generic DORA overviews or slide decks, this course delivers line-by-line implementation logic, exact evidence requirements, and phrasing that passes internal challenge , all tailored to senior practitioners in global capital markets.
Frequently asked
Is this course specific to banks or asset managers?
It’s tailored for senior risk leaders in global banks and systemically important institutions, with examples drawn from capital markets workflows.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Does this cover FFIEC or OSFI expectations?
Yes. The course references commonalities across EBA, FFIEC, and OSFI resilience expectations to support multi-jurisdictional alignment.
$199 one-time. 90 minutes total, designed for completion in one focused session..
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