Mastering the DORA audit: resilience for financial institutions

Objective: Early identification of weak points and risks

We analyse your DORA readiness, identify weaknesses and develop a roadmap with measures that can be implemented in the short term.

Scope of services

• GAP analysis based on DORA and other relevant regulations such as Minimum Requirements for Risk Management (MaRisk) and EU AI ACT
• Heat map for prioritising fields of action
• 100-point checklist for organisational and technical preparation for an audit
• Development of a roadmap with quick wins
• Comparison with other market participants

Your advantage: Minimisation of regulatory risks and targeted preparation for the audit

Objective: to build up audit compliance and internal security

We train your employees, simulate supervisory meetings and prepare all documents in a structured and audit-proof manner.

Scope of services:

• Awareness training and rules of conduct for exams
• Simulation of supervisory discussions with individual feedback
• Preparation of kick-off presentations for each examination area
• Document review and argumentation guidelines
• Setting up the audit office with clear governance structures

Your advantage: Structured processes and secure communication during the audit

Objective: Efficient and controlled execution of the audit

We operate a centralised audit office, coordinate all enquiries and provide you with technical support throughout the audit.

Scope of services:

• Operation of a central audit office
• Coordination of enquiries, interviews and documents
• Logging and anticipation of critical queries
• Technical support and argumentation strategies
• Daily briefings and structured status reports

Your advantage: Relief of internal resources and professional external impact

Objective: Efficiently analyse audit findings and implement them in a regulatory compliant manner

We analyse the findings, define ambition levels and create a prioritised action plan for implementation.

Scope of services:

• Analysis of the factual report
• Definition of ambition levels and target images
• Creation of a prioritised action plan
• Support in communicating with the supervisory authority
• Introduction of best practices

Your advantage: Sustainable compliance and strengthened governance structures

Objective: Comprehensible and complete closure of the findings

We accompany the implementation of the measures, ensure their quality and provide support in communicating with the supervisory authority.

Scope of services:

• Project management and progress monitoring
• Implementation of the measures for shooting the findings
• Quality assurance of the measures and proof of implementation
• Support with quarterly reporting
• Follow-up audits and structured documentation
• Employee training on new processes

Your advantage: Reduction of reputational risks, reliable evidence and a long-term strengthening of your organisation.