A tailored course, built for your situation
Mastering MiFID II for Operational Risk Practitioners
Advance your risk governance impact with precision implementation frameworks
$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.
Invisible work despite high effort
The situation this course is for
High-performing risk professionals often deliver critical MiFID II compliance outputs that never reach leadership view, buried in workflows, misaligned with executive priorities, or lost in translation across functions.
Who this is for
Senior operational risk practitioner in financial services ensuring regulatory compliance with direct accountability for MiFID II outcomes
Who this is not for
Entry-level analysts, consultants without hands-on MiFID II implementation experience, or professionals outside financial services regulation
What you walk away with
- Structure MiFID II compliance deliverables to surface directly to executive stakeholders
- Align trade reporting, best execution, and client classification work to leadership priorities
- Produce clear, source-backed documentation that earns recognition in regulatory reviews
- Navigate cross-functional coordination with confidence and precision
- Build a repeatable framework for elevating operational risk work into strategic view
The 12 modules (with all 144 chapters)
Module 1. Understanding MiFID II's operational risk scope
Define the key obligations under MiFID II that fall within operational risk remit, focusing on trade reporting accuracy, client order handling, and recordkeeping resilience.
12 chapters in this module
- Scope of operational risk under MiFID II
- Regulatory technical standards overview
- Key roles: Trading, Compliance, Ops
- Mapping obligations to workflows
- Client classification workflows
- Best execution monitoring design
- Transaction reporting thresholds
- Data quality accountability
- Recordkeeping timelines
- Incident escalation paths
- Internal audit alignment
- Regulatory change tracking
Module 2. Building defensible trade reporting frameworks
Develop structured processes that ensure accurate, timely, and auditable trade reporting under RTS 27 and RTS 28.
12 chapters in this module
- RTS 27 transparency requirements
- RTS 28 post-trade disclosures
- Execution venue classification
- Average cost basis calculations
- Data sourcing from trading systems
- Validation rule design
- Exception handling protocols
- Monthly report generation
- Client distribution workflows
- Regulatory submission formats
- Audit trail retention
- Gap assessment templates
Module 3. Best execution governance design
Create a sustainable governance model for monitoring and demonstrating best execution across asset classes and client types.
12 chapters in this module
- Best execution policy drafting
- Broker selection criteria
- Cost of execution analysis
- Trading desk feedback loops
- Client-specific mandates
- Venue performance tracking
- Slippage measurement
- Third-party benchmark use
- Quarterly review cadence
- Stakeholder sign-off process
- Document retention strategy
- Regulator-facing summaries
Module 4. Client classification and suitability controls
Implement robust frameworks for client categorization and appropriateness assessments under MiFID II.
12 chapters in this module
- Professional vs retail client rules
- Opt-up documentation
- Knowledge and experience evidence
- Financial situation assessments
- Appropriateness test workflows
- Suitability rule exceptions
- Client file audits
- Advisor training requirements
- Systemic categorization errors
- Regulatory inspection prep
- Client challenge handling
- Annual review automation
Module 5. Operational risk mapping under MiFID II
Link MiFID II compliance activities to firm-wide operational risk frameworks and RCSA processes.
12 chapters in this module
- RCSA integration strategies
- Key risk indicators setup
- Loss event tracking design
- Control self-assessment templates
- Threshold breach workflows
- Risk appetite alignment
- Incident reporting integration
- Third-party risk overlap
- Change management linkage
- Remediation tracking
- Management reporting structure
- Board-level summary prep
Module 6. Data governance for compliance accuracy
Establish data quality standards and lineage tracking to support MiFID II reporting integrity.
12 chapters in this module
- Critical data elements list
- Source-to-report mapping
- Golden source identification
- Reconciliation frequency
- Data quality monitoring
- Exception escalation paths
- Vendor data validation
- Client reference data
- System downtime protocols
- Backfill documentation
- Data lineage diagrams
- Audit-ready evidence packs
Module 7. Cross-functional alignment mechanics
Design engagement models that ensure sustained cooperation between Ops, Legal, Compliance, and Front Office.
12 chapters in this module
- Stakeholder mapping
- RACI for MiFID tasks
- Meeting cadence design
- Issue escalation paths
- Change notification systems
- Policy approval workflows
- Training coordination
- Conflict resolution protocols
- Performance metrics sharing
- Regulatory feedback loops
- Lessons learned capture
- Year-end readiness plan
Module 8. Documentation for executive visibility
Transform technical compliance work into clear, leadership-facing summaries.
12 chapters in this module
- Executive summary drafting
- Risk heat map visuals
- Compliance gap tracking
- Action item dashboards
- Regulatory change logs
- Peer benchmarking references
- Escalation decision records
- Vendor performance summaries
- Incident response timelines
- Remediation progress tracking
- Control effectiveness metrics
- Annual compliance reporting
Module 9. Audit and inspection readiness
Prepare for regulatory scrutiny with organized, evidence-based responses.
12 chapters in this module
- Regulator question prep
- Evidence indexing
- Interview readiness
- Deficiency response drafting
- Root cause analysis
- Corrective action planning
- Follow-up tracking
- Internal audit prep
- Mock inspection design
- Time-bound action logs
- Regulator communication protocol
- Inspection closure checklist
Module 10. Change management for evolving rules
Implement agile processes to adapt to new MiFID II interpretations and technical standards.
12 chapters in this module
- Regulatory monitoring setup
- Impact assessment workflow
- Stakeholder consultation
- Policy update process
- Training deployment
- System configuration changes
- Testing requirements
- Go-live validation
- Version control
- Historical record retention
- Feedback collection
- Continuous improvement cycle
Module 11. Technology enablers for compliance efficiency
Leverage existing platforms to automate and scale MiFID II compliance work.
12 chapters in this module
- Workflow automation tools
- ServiceNow integration
- Jira for issue tracking
- Power BI dashboards
- Data validation scripts
- Exception alerting
- Reporting calendar automation
- Document management
- Access control review
- Audit log extraction
- Vendor tool evaluation
- Scalability assessment
Module 12. Sustaining visibility and influence
Build long-term recognition through consistent, high-quality outputs and strategic communication.
12 chapters in this module
- Visibility goal setting
- Stakeholder feedback loops
- Success metric tracking
- Recognition pathways
- Career development planning
- Mentorship opportunities
- Cross-department projects
- Public speaking prep
- Internal publication
- Regulator engagement
- Industry contribution
- Leadership brand building
How this maps to your situation
- New regulatory scrutiny cycle
- Post-implementation review
- Cross-functional initiative launch
- Executive visibility gap
Before vs. after
Before
High-effort compliance work remains invisible to leadership despite rigorous internal execution.
After
Structured, leadership-aligned outputs consistently surface to executive stakeholders, increasing recognition and influence.
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 module, designed for completion over 4-6 weeks with flexible pacing.
If nothing changes
Continuing with current processes may result in sustained under-recognition of critical compliance contributions, limiting career momentum and reducing influence in shaping future risk strategy.
How this compares to the alternatives
Unlike generic compliance courses, this program is tailored to MiFID II operational risk execution, with concrete frameworks used by leading financial institutions, delivering immediate applicability without consultant jargon or abstract theory.
Frequently asked
Is this course focused on MiFID II policy or implementation?
It focuses on implementation, specifically how to structure, document, and elevate operational risk work under MiFID II.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help me get noticed by senior leaders?
Yes, by teaching you how to frame compliance outputs for executive visibility and strategic relevance.
$199 one-time. Approximately 3 hours per module, designed for completion over 4-6 weeks with flexible pacing..
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