Description

A focused course, tailored for you

Security Control Evidence for Banking Regulators

Build examiner-ready evidence packages for DORA and EBA ICT reviews without the six-day scramble.

The EBA ICT risk review asked for evidence on 47 controls in six business days. The controls existed. The documentation trail did not match the format examiners require.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

Information security associates at global banks carry two jobs simultaneously: keeping controls current and proving to regulators that those controls are operating effectively. The second job is harder. Examiners do not read policies; they read evidence trails. The gap between a mature control environment and a clean regulatory outcome is the evidence log format, the testing record structure, and the exception documentation quality. Most security teams produce good controls and weak evidence packages. That gap is what triggers remediation queries, follow-up examinations, and a four-week extended review that nobody planned for.

What you walk away with

Produce a DORA-compliant ICT risk control evidence package that passes first-round examination without remediation queries.
Build a single-source control inventory that exports evidence for DORA, EBA ICT, and ISO 27001 from one master document.
Write exception records that satisfy both internal audit and external regulatory review requirements.
Structure incident response evidence trails that meet DORA Article 19 major incident reporting standards.
Maintain a continuous evidence repository that requires no six-day scramble before each regulatory cycle.

The 12 modules

Module 1. The DORA Evidence Taxonomy

DORA requires evidence at three levels: ICT risk management policies, implementation records, and operational test results. This module walks through the exact evidence taxonomy the framework demands, distinguishing between governance artefacts and operational logs. You will map your existing security documentation to DORA's five ICT risk management pillars so you know which gaps require new artefacts and which existing documents just need reformatting for examiner presentation.

Module 2. Building the ICT Risk Register Examiners Expect

The ICT risk register is the first document an EBA-aligned examiner opens. This module covers the required fields, the risk scoring methodology that survives challenge, and the linkage between risk entries and the controls that address them. You will build a register template with mandatory columns for inherent risk, residual risk, control reference, evidence reference, and review date, each mapped to the EBA ICT risk taxonomy.

Module 3. Single-Source Control Mapping Across DORA, EBA, and ISO 27001

Security associates at global banks manage evidence across DORA, EBA ICT guidelines, ISO 27001, NIST CSF, and local regulator requirements simultaneously. This module teaches a single-source mapping approach where each control is documented once and cross-referenced to all applicable frameworks. You will build a control inventory with framework columns that lets you export an ISO 27001 Statement of Applicability, a DORA ICT control list, or an EBA evidence manifest from a single master document.

Module 4. The Evidence Log Format That Passes First Submission

Most evidence packages fail first-round examination not because controls are missing but because the evidence log format does not match examiner expectations. This module covers the four-field structure examiners rely on: control description, evidence artefact name, last testing date, and tester role. You will review examples of packages that passed first submission and packages that came back with 20 remediation queries, with annotation on exactly which fields were deficient in the rejected submissions.

Module 5. Control Testing Records: Design vs Operating Effectiveness

Regulators distinguish between design effectiveness evidence (the policy exists) and operating effectiveness evidence (the policy was followed consistently). This module covers how to produce operating effectiveness testing records that satisfy both ECB on-site inspection standards and DORA Article 17 requirements for ICT risk controls. You will write a testing plan template, a results document format, and a sign-off workflow that creates a clear audit trail from control population to tested sample.

Module 6. Exception Documentation That Demonstrates Mature Governance

Control exceptions are inevitable; how you document them determines whether an examiner views your programme as mature or reactive. This module covers the required components of an exception record: the control that failed, the root cause, the compensating control in place, the remediation timeline, and the owner accountable for closure. You will build an exception register that satisfies both internal audit requirements and external regulatory review, with escalation thresholds that demonstrate proactive governance.

Module 7. Third-Party ICT Risk Evidence Under DORA Articles 28-30

DORA Articles 28-30 impose specific third-party ICT risk requirements, including contractual provisions, concentration risk documentation, and exit strategy evidence. This module covers the artefacts you need for each critical third-party ICT provider: the contractual review checklist, the risk assessment record, the subcontracting map, and the annual review summary. You will build a third-party ICT evidence folder template that satisfies the joint ESA regulatory technical standards on oversight and is reusable across your full vendor population.

Module 8. Incident Detection and Reporting Evidence Trails

DORA's major ICT incident reporting requirements under Article 19 demand evidence that your detection, classification, and reporting chain functioned correctly. This module covers the incident evidence trail: detection log timestamp, severity classification rationale, root cause analysis document, and the regulatory notification record filed within DORA's prescribed timeframes. You will map your existing SIEM alert logs and ticketing system records to the evidence artefacts regulators require so that your incident response output is examination-ready.

Module 9. Business Continuity and Operational Resilience Evidence

Operational resilience evidence requires demonstrating that critical functions can be restored within impact tolerances defined by senior management. This module covers DORA TLPT documentation requirements, the business continuity plan test evidence format regulators expect, and the linkage between recovery time objectives and actual test results that validate them. You will build a resilience evidence summary document that ties each critical ICT system to its tested recovery capability and produces an examiner-readable test outcome record.

Module 10. Assembling the Full Control Effectiveness Assessment Package

The control effectiveness assessment is the centrepiece of any regulatory submission on ICT risk management. This module walks through how to assemble the full package: risk assessment, control inventory, evidence log, exception register, and management attestation. You will learn how to sequence the documents so an examiner can move from risk identification to control mapping to evidence in a single review session, and how to prepare the executive summary that senior management signs off on before submission.

Module 11. Responding to Regulator Queries Without Reopening the Scope

Regulator queries after initial submission are the second examination. How you respond determines whether the review closes or escalates to enhanced scrutiny. This module covers the query response format, the 72-hour first-reply protocol, and how to provide supplementary evidence without inadvertently expanding the scope of the examination. You will write template responses to the ten most common EBA and ECB ICT risk queries, each with the evidence reference, the explanation, and the closure criteria stated explicitly.

Module 12. Building a Continuous Evidence Repository

A continuous evidence repository means the next examination does not require a six-day scramble. This module covers how to structure a living evidence folder that is updated as controls are tested, exceptions are closed, and incidents are resolved, so that any snapshot represents the current state of your control environment. You will build a maintenance schedule, an ownership matrix, and a quarterly readiness review template that keeps the repository examination-ready without creating unsustainable process overhead.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Modules 1-3 cover the foundational evidence taxonomy and control mapping that prevents the controls-exist-but-evidence-does-not problem.

Modules 4-6 address the three artefacts that determine first-submission pass rates: evidence log format, testing records, and exception documentation.

Modules 7-9 cover the specialist evidence domains that trip most teams: third-party ICT risk, incident trails, and operational resilience.

Modules 10-12 assemble the full package and build the maintenance system that keeps you examination-ready between regulatory cycles.

What you get with this course

12 written modules covering the full DORA and EBA ICT evidence lifecycle.
Downloadable templates: ICT risk register, control inventory with framework mapping columns, evidence log format, exception register, incident evidence trail, third-party ICT folder checklist, control effectiveness assessment package, and quarterly readiness review.
Worked examples showing evidence packages that passed first submission versus packages that triggered remediation queries, with field-level annotation on exactly what failed.
The hand-built implementation playbook, delivered alongside course access, tailored to the specific control environment and regulatory relationships relevant to this role.

What you will have in hand by Day 1, Week 1, Month 1

Course access provisioned within 24 hours of purchase.

Hand-built implementation playbook delivered alongside course access.

Before and after

Before

Evidence packages assembled in a six-day scramble before each regulatory cycle, with format inconsistencies that trigger remediation queries and a follow-on review that consumes four more weeks.

After

A living evidence repository that reflects the current state of every control, ready to export an examiner-ready package in hours, with first-submission outcomes that match the quality of the underlying control programme.

What happens if you do not address this

Regulatory queries that could have closed in four weeks extend to four months when the evidence package format is wrong. Each extended review consumes senior management time, generates internal audit findings, and creates a track record with the regulator that shapes how the next examination is scoped.

Who it is for

Information security professionals at regulated financial institutions who manage ICT risk control evidence, support internal audit cycles, and contribute to regulatory examination preparation. Typically holding Associate or Analyst-level roles, accountable for the day-to-day evidence collection that makes senior management sign-off possible. Working across DORA, EBA ICT guidelines, ISO 27001, and local regulator requirements at the same time.

Who this is NOT for. Specialists whose entire role is CISO-level policy definition with no involvement in evidence collection. Security architects focused on technical design rather than compliance documentation. Teams operating entirely outside regulated financial institutions where regulatory evidence standards do not apply.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Each module is designed to fit within a 45-minute working session. Full completion across all modules requires approximately nine hours, with the implementation playbook immediately applicable in the next regulatory evidence cycle.

Why $199 is the right number

Generic GRC certification programmes cover frameworks at the theory level but do not teach evidence package construction for specific regulatory examination contexts. Internal training from senior colleagues covers institutional process but rarely systematises the evidence log format or exception documentation standards that determine examination outcomes. This course covers the gap between knowing the frameworks and producing packages that close regulatory reviews.

FAQ

Does this apply specifically to DORA, or does it cover other regulatory frameworks?

The primary framework is DORA and EBA ICT guidelines, with cross-mapping to ISO 27001 and NIST CSF. The evidence log format and testing record approach are applicable to any regulatory examination context, so the skills transfer to other framework requirements.

Is this relevant for someone who supports examination preparation rather than leading it?

Yes. The course is built for Associates and Analysts who collect evidence, maintain the control inventory, and produce the documentation that managers review and sign off on. The output templates are designed to be directly usable in the evidence collection workflow.

How current is the DORA content?

The course covers DORA as enacted, including the ICT risk management requirements, the major incident reporting standards, and the third-party oversight provisions. The implementation playbook is tailored to the current examination context relevant to this role.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.