Regulatory Submissions and Supervisory Interaction Audit translates DORA expectations into practical audit steps that teams can execute and evidence. You will learn what supervisors typically test, how to scope audits to critical services and dependencies, and how to document conclusions with defensible evidence. The course is designed for auditors, risk owners, and control functions who need repeatable, inspection-ready outcomes.
Objectives:
In this course, you should learn to:
- Explain the audit intent and scope for Regulatory Submissions and Supervisory Interaction Audit
- Identify expected controls evidence and governance artefacts
- Apply a risk-based approach to testing and assurance activities
- Recognise common failure patterns that drive supervisory findings
- Prepare audit-ready outputs suitable for inspections and reviews
Audience:
- Internal Audit
- ICT Risk
- Compliance
- IT Operations
- Security
- GRC
- Board Secretariat
- Risk Committees
- Regulatory Affairs
Duration:
2 hours
