A tailored course, built for your situation
Mastering MiFID II for Financial Compliance Practitioners
A proven system to accelerate compliance artefact delivery without rework.
$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.
Trade reconciliation packs that require last-minute adjustments ahead of audit cycles
The situation this course is for
Compliance teams routinely face tight windows to compile, validate, and sign off on trade data packages under MiFID II requirements. Small data inconsistencies lead to cascading delays, rework, and weekend sprints to meet submission deadlines.
Who this is for
Financial compliance practitioner at a global institution, responsible for accurate, timely trade reporting and audit-ready documentation under MiFID II
Who this is not for
This course is not for executives seeking high-level governance summaries or vendors selling automation tools. It’s for practitioners who own the artefact, not the strategy.
What you walk away with
- Produce audit-ready MiFID II trade dossiers in under 90 minutes
- Use templated validation rules to eliminate last-minute data chases
- Apply version-controlled workflows that survive team rotation
- Demonstrate repeatable compliance under regulator scrutiny
- Shift from reactive correction to proactive validation cycles
The 12 modules (with all 144 chapters)
Module 1. Understanding MiFID II Reporting Obligations
Establish a baseline of mandatory trade data fields, reporting deadlines, and submission formats required under current EBA guidelines.
12 chapters in this module
- Core principles of MiFID II transaction reporting
- Scope of reportable transactions under Article 26
- Key identification codes: UTI, LEI, and ISIN
- Data granularity requirements for derivatives and equities
- How trade lifecycle events affect reporting timelines
- Differences between deferral, waiver, and exemption claims
- National competent authorities and their reporting variations
- Time-stamping standards for pre-trade and post-trade data
- Recordkeeping duration and access requirements
- Integration points with EMIR and SFTR reporting
- Obligations for cross-jurisdictional trading desks
- Common misclassifications leading to EBA rejections
Module 2. Data Sourcing for Trade Dossiers
Identify reliable internal systems as primary evidence sources and map lineage from execution to reporting layer.
12 chapters in this module
- Locating golden copies of trade data in legacy systems
- Validating data integrity from front-office to compliance
- Mapping trade attributes to MiFID II Annex IV fields
- Handling partial fills and algorithmic trade breaks
- Sourcing counterparty LEI data at point of execution
- Timestamp normalization across trading venues
- Reconciling internal IDs with external submission formats
- Audit trail requirements for automated corrections
- Documenting data exceptions with root cause tags
- Vendor feeds and their reliability scoring
- Fallback procedures when primary systems are offline
- Data ownership roles across operations and tech
Module 3. Automated Validation Rules Setup
Configure repeatable data checks that flag anomalies before compilation begins.
12 chapters in this module
- Building rule sets for mandatory field completeness
- Creating logic to verify UTI uniqueness across trades
- Automated checks for price alignment with benchmark sources
- Validating trade type classification against product codes
- Cross-referencing trade size with client risk bands
- Setting thresholds for outlier detection in derivatives
- Automated reconciliation between execution and booking
- Using hash checks to detect silent data corruption
- Version control for rule updates and change logs
- Alerting protocols for out-of-bound values
- Integrating validation feedback into daily workflows
- Testing rule efficacy with historical trade samples
Module 4. Template-Driven Dossier Assembly
Assemble compliant outputs using standardized templates that ensure consistency and reduce ad-hoc formatting.
12 chapters in this module
- Structure of a regulator-ready trade dossier
- Using narrative blocks for common data patterns
- Embedding dynamic data pulls into static templates
- Versioning dossier templates for annual updates
- Automating table population from validation outputs
- Formatting for EBA submission readability
- Including exception summaries with supporting evidence
- Linking line items to source system snapshots
- Creating an index for rapid auditor navigation
- Standardizing explanations for deferral claims
- Archiving past submissions for trend analysis
- Access controls for draft versus final versions
Module 5. Cross-Team Sign-Off Workflows
Streamline approvals with clearly defined handoffs and audit trails.
12 chapters in this module
- Defining ownership for each dossier section
- Setting SLAs for review cycles across desks
- Documenting resolution paths for flagged items
- Using timestamped comments for version clarity
- Escalation paths when consensus isn’t reached
- Incorporating legal input on disclosure phrasing
- Aligning with internal audit pre-submission checks
- Tracking reviewer bandwidth during peak periods
- Automating reminders for pending sign-offs
- Maintaining confidentiality during review chains
- Capturing rationale for exceptions above threshold
- Closing the loop with operations post-signoff
Module 6. Error Recovery and Re-Reporting
Respond to regulator feedback with structured correction protocols.
12 chapters in this module
- Classifying error types: data, timing, or classification
- Building a repository of past EBA feedback themes
- Creating correction templates for common issues
- Validating resubmissions against original rejection
- Documenting root cause for regulatory follow-up
- Updating validation rules to prevent recurrence
- Tracking re-reporting SLAs across jurisdictions
- Coordinating with counterparties on joint corrections
- Logging lessons learned in team knowledge base
- Automating alerts for open correction tickets
- Reporting recovery rates to compliance leadership
- Benchmarking against peer firm re-report rates
Module 7. Audit-Ready Documentation Practices
Produce evidence packs that survive deep scrutiny without last-minute scrambling.
12 chapters in this module
- Assembling data lineage maps for each trade line
- Including system access logs as proof of process
- Documenting rule logic changes with version tags
- Storing source data extracts with metadata
- Creating decision logs for judgment-based classifications
- Archiving reviewer comments and rationale
- Linking validation reports to final submission
- Preparing narrative summaries for auditor Qs
- Using color coding to flag high-risk trades
- Indexing evidence for rapid retrieval
- Ensuring format compatibility with auditor tools
- Maintaining access controls on sensitive packs
Module 8. Continuous Process Refinement
Use feedback loops to improve speed and accuracy over time.
12 chapters in this module
- Measuring cycle time from trade close to sign-off
- Tracking rework triggers by root category
- Benchmarking team performance across quarters
- Incorporating automation success metrics
- Surveying reviewers on friction points
- Prioritizing fixes based on recurrence rate
- Running monthly process retrospectives
- Updating training materials with real cases
- Integrating lessons into onboarding
- Sharing improvements across regional desks
- Adapting to EBA consultation paper changes
- Planning for RTS revisions and guidance updates
Module 9. Stakeholder Communication Strategy
Align internal teams with clear, timely updates on reporting status.
12 chapters in this module
- Creating executive summaries from raw data
- Timing updates to match leadership cycles
- Using visual dashboards for exception tracking
- Communicating delays with mitigation plans
- Explaining technical constraints to non-experts
- Coordinating messaging across legal and PR
- Preparing Q&A for regulator inquiries
- Documenting decisions for future reference
- Managing expectations during system outages
- Reporting on control effectiveness improvements
- Highlighting team wins in compliance forums
- Aligning with broader regulatory engagement goals
Module 10. Integration with Broader Regulatory Frameworks
Align MiFID II reporting with other compliance regimes.
12 chapters in this module
- Mapping overlapping requirements with EMIR
- Reconciling data formats for SFTR submissions
- Cross-validating reporting under DORA
- Aligning with Basel III leverage ratio reporting
- Sharing LEI validation across frameworks
- Using common data models for efficiency
- Avoiding duplication in recordkeeping
- Consolidating audit trails for multiple regulations
- Coordinating submission calendars across teams
- Benchmarking against IFRS 17 data pipelines
- Preparing for future cross-framework audits
- Centralizing compliance control mappings
Module 11. Technology Enablement for Speed
Leverage platform features to reduce manual effort and errors.
12 chapters in this module
- Configuring automated data pulls from core systems
- Using workflow engines to route sign-offs
- Integrating validation scripts into pipelines
- Setting up alerts for deadline proximity
- Automating timestamp conversion across zones
- Deploying template libraries across desks
- Using version control for regulatory updates
- Enabling mobile access for urgent reviews
- Generating audit logs for compliance proof
- Scaling rules across asset classes
- Integrating with data quality monitoring tools
- Future-proofing for API-based submissions
Module 12. Sustaining Compliance Velocity
Maintain high-speed delivery through documentation, training, and process ownership.
12 chapters in this module
- Onboarding new staff with live dossier examples
- Creating video walkthroughs of key workflows
- Maintaining a searchable knowledge base
- Assigning process champions across teams
- Running bi-annual skills assessments
- Updating templates ahead of deadline cycles
- Archiving historical patterns for reference
- Mentoring junior analysts on edge cases
- Sharing best practices across global offices
- Documenting institutional memory
- Planning for staff rotation impact
- Building resilience into high-velocity workflows
How this maps to your situation
- Regulatory reporting under MiFID II
- Trade data reconciliation and validation
- Cross-functional compliance sign-off
- Audit and reviewer readiness
Before vs. after
Before
Spending hours chasing data inconsistencies and last-minute sign-offs for MiFID II trade dossiers.
After
Producing fully validated, regulator-ready dossiers in under 90 minutes with zero rework.
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 90 minutes of focused learning, designed to be consumed in one Sunday morning session.
If nothing changes
Continuing to rely on manual checks increases the likelihood of submission errors, regulatory censure, and unplanned weekend work during reporting cycles.
How this compares to the alternatives
Unlike generic MiFID II overviews or certification prep courses, this program focuses on the exact deliverables you produce, trade dossiers, validation packs, and audit responses, with actionable steps to cut throughput time by 80%.
Frequently asked
Is this course technical or policy-focused?
It’s focused on the practitioner’s artefact: the trade reporting dossier. You’ll learn how to structure, validate, and sign off with confidence.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help me if I’m not in London?
Yes. The frameworks apply across Macquarie’s global desks, with templates adaptable to regional variations.
$199 one-time. Approximately 90 minutes of focused learning, designed to be consumed in one Sunday morning 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