Can you restructure existing artifacts or do we need to start from scratch?

Both are possible. In most cases, artifacts already exist - they just need to be structured, supplemented, and made traceable.

Which regulatory frameworks do you have experience with?

Focus: BaFin-regulated environments (MaRisk) and DORA-aligned evidence/governance. Where relevant, I also support BAIT-based requirements for institutions outside DORA scope.

Will governance structures remain after your engagement?

Yes - transferability is a mandatory deliverable. I document processes, train internal owners, and ensure sustainability.

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GOVERNANCE & EVIDENCE

Governance & Evidence: Audit Readiness, Decision Logs and Compliance Artifacts

Regulated environments demand not just good work-but verifiable work. I build governance structures that are audit-ready, traceable, and transferable - decision logs, risk registers, test evidence structures, and compliance artifacts.

When to Engage

Upcoming audit (BaFin, internal audit, external auditors) without sufficient evidence
Project artifacts are unstructured, incomplete, or not traceable
Management demands audit-ready governance for an ongoing program
Regulatory requirements (DORA, MaRisk, etc.) require robust evidence management

Deliverables

Decision log with complete decision history (who, when, why, implications)

Risk register with assessment, measures, and tracking

Test evidence structure (test planning, execution, sign-off, traceability)

Compliance artifacts structured according to regulatory standards

Governance handbook for sustainable transferability

Approach & Methodology

As-Is Analysis: Existing artifacts and processes are assessed for audit readiness. Gaps and risks are identified and prioritized.

Structuring: Governance artifacts are built or restructured according to defined standards - traceable, versioned, and transferable.

Embedding: Governance processes are integrated into existing workflows and handed over to internal teams - ensuring the structure is sustainable.

Regulatory Context

Governance and evidence management are especially relevant in contexts involving:

BaFin/EBA expectations (MaRisk, DORA; and BAIT where institutions are excluded from DORA's ICT-risk scope)
Internal revision and compliance audits
Vendor audits and third-party risk management

Project contexts are anonymized. Roles and results are truthful; details available under NDA.

Project Example (Anonymized)

GOVERNANCE

Building Audit-Ready Governance for Core System Migration

International Bank (Europe) - Regulated Context

Challenge: Core system migration without structured evidence management. Decisions, test sign-offs, and risk assessments not traceably documented.

Role: Senior Project Manager for governance build-up and compliance evidence management

Results:

Decision log and risk register built and operationalized
Test evidence structure established for regulated sign-offs
Governance artifacts successfully handed over to internal teams

Note: The project examples presented are drawn from previous roles in consulting and financial services. All contexts have been anonymized; roles and outcomes are described accurately.

Frequently Asked Questions

Related Services

DORA COMPLIANCE

DORA Implementation

Regulatory compliance, ICT risk management, and audit-ready evidence management

PROGRAM MANAGEMENT

Program Management

Coordinating parallel projects with cross-cutting governance and budget control

Let's talk about your project

No-obligation initial conversation - get concrete insights about your initiative.

Book a Consultation

Response within 1 business dayNDA-ready on requestAudit-ready documentation

Last updated: February 2026