13 August 2025
Implementing a Digital GAP Analysis for DORA Compliance
Read MoreGrant Thornton operates globally under a unified brand, delivering professional services through Grant Thornton LLP, Grant Thornton Advisors LLC, and affiliated entities. Adhering to the AICPA Code of Professional Conduct and relevant laws, regulations, and professional standards, Grant Thornton continues to innovate in compliance solutions for clients worldwide.
For its Luxembourg operations (GT Lux), the firm sought to modernize and digitize its Digital Operational Resilience Act (DORA) GAP analysis tool — moving from a manual, Excel-based process to a robust, web-based platform.
The Need
The legacy compliance process relied heavily on Excel-based tools, limiting scalability, collaboration, and data integrity. GT Lux required:
- Digital Transformation: Convert the existing Microsoft Excel DORA GAP analysis into a secure, interactive web application.
- Historical Data Access: Provide view-only access to past DORA assessments while allowing analysts to download remediation reports for completed assessments.
- Dynamic Review Workflow: Enable real-time updates to assessments, with reviewers having the ability to approve or reject any DORA item.
The Solution
A Web-Based GAP Analysis Application for DORA Compliance
The new platform, developed using Microsoft .NET Core, React.js, and Microsoft SQL Server, was designed to streamline compliance assessment and remediation processes.
Key features included:
Role-Based Access & Security:
Defined analyst, reviewer, and super admin roles to prevent unauthorized data changes.
End-to-End Assessment Management:
Tools for managing DORA items, conducting assessments, generating remediation reports, and viewing graphical analysis.
Historical Data Visibility:
Read-only access to all past assessments with downloadable reports.
Comprehensive Views:
Analyst dashboards for data entry and review, reviewer tools for approval/rejection, and super admin controls for full oversight.
Delivery Approach:
Offshore development, onsite training, and hypercare support ensured smooth adoption and operational stability.
The Impact
Improved Data Governance
Role-based permissions eliminated unauthorized alterations.
Industry-Wide Applicability
Designed to serve multiple financial entities — from credit institutions to insurance undertakings.
Enhanced Productivity
Streamlined workflows reduced manual intervention and reporting time.
Graphical representation and structured review processes improved audit readiness and decision-making.
Looking Ahead
With the DORA GAP Analysis platform in place, Grant Thornton plans to:
Proactive Compliance Monitoring with Advanced Analytics
Integrate advanced analytics for proactive compliance monitoring
Multi-Regulatory Framework Expansion
Expand the tool for other regulatory frameworks beyond DORA
Sustainability-Integrated Compliance Reporting
Incorporate sustainability metrics into compliance reporting
This project reinforces Grant Thornton’s commitment to digital transformation in the fintech sector, delivering secure, efficient, and transparent compliance solutions for the evolving regulatory landscape.
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