DORA Audit
Schedule an Audit
Independent ICT risk and resilience assessment for companies subject to the Digital Operational Resilience Act.
DORA AUDIT
Independent DORA Audit for ICT Risk and Operational Resilience
The Digital Operational Resilience Act (DORA) sets strict requirements for ICT governance, risk management, and operational resilience.
Financial entities and ICT providers must demonstrate that systems are secure, controls are effective, and operations can withstand disruption.
Complium provides independent DORA audits to help organisations assess readiness and identify areas for improvement.
ICT Governance
Oversight structures, roles, responsibilities, and reporting lines for ICT management.
ICT Risk Management
Identification, assessment, and mitigation of ICT-related risks and controls.
Incident Management
Processes for incident detection, classification, reporting, and response.
Operational Resilience
Business continuity, recovery planning, and resilience testing measures.
Third-Party ICT Risk
Oversight of ICT service providers, contracts, and dependency management.
Audit Evidence & Documentation
Policies, procedures, records, and control evidence expected by supervisors.
The audit includes a review of policies, procedures, evidence, and control effectiveness to confirm alignment with DORA and supervisory expectations.
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STEP 1
Activity License
We define the audit scope based on DORA requirements and your operational setup. This ensures focus on the most relevant risk areas.
(One-Time Authorisation) -
Step 2
Control Testing
We review and test governance, incident response, continuity, and third-party controls. This confirms whether controls work effectively in practice.
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STEP 1
Scope Review
We define the audit scope based on DORA requirements and your operational setup. This ensures focus on the most relevant risk areas. -
Step 2
Control Testing
We review and test governance, incident response, continuity, and third-party controls. This confirms whether controls work effectively in practice. -
Step 3
Findings
You receive a clear report outlining findings, risk areas, and recommended actions. The report supports internal remediation and preparation for supervisory review.
Key benefits
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Continuity Without Gaps
The MLRO role remains continuously covered without reliance on a single internal hire.
Reduced Operational and Compliance Risk
Independent oversight strengthens governance and reduces the risk of disruption during growth or staff changes.
WHY DoRA AUDIT
Why DORA Audits Matter
DORA creates binding requirements for ICT risk management, incident reporting, and service continuity.
Organisations must maintain systems that support stable operations and reduce the risk of disruption.
An independent audit helps confirm that controls work in practice and that your organisation is prepared for supervisory review.
Operational Resilience
Identify weaknesses before they lead to service interruptions.
Regulatory Readiness
Demonstrate alignment with DORA requirements and supervisory expectations.
Efficient Improvement
Receive focused recommendations to strengthen ICT governance and resilience.
Industries we serve
DORA Audits for Financial & ICT Providers
We support entities subject to DORA or preparing for compliance.
Fintech & Payment Institutions
Investment & Brokerage Firms
ICT Service Providers
Financial Intermediaries
WHY COmplium
Strengthen Your ICT Resilience
Complium delivers independent regulatory and ICT risk assessments for organisations operating under EU financial regulations. We help organisations assess DORA readiness with clarity, independence, and regulator-aligned methodology.
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AML Compliance & Regulatory Reporting
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Multi-Juristiction & Local Presence Support
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Outsourced AML & KYC roles
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Fintech Licensing Services
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EU-Based Legal Experts
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Ongoing Advisory Service
Complium has delivered legal and compliance expertise since 2008, with deep insight into regulatory expectations across European jurisdictions.
Contact us
Schedule a Dora Audit with Complium
Share details about your ICT setup or DORA requirements. Our EU-based experts will review your request and contact you to discuss next steps.
