We are looking for a senior and experienced Internal Controller (Contralor Normativo) to serve as the regulatory compliance backbone of Casa de Bolsa Plata, a new brokerage firm currently in its pre-operational phase, targeting CNBV licensing in the upcoming months and commencement of operations in December 2026.
This is a statutory role required by the LMV and CUCB — and it carries individual regulatory accountability before the CNBV. You will operate independently from the business lines, reporting directly to the Board of Directors. In the pre-operational period, you will be the internal gatekeeper ensuring the firm is genuinely ready to pass the CNBV inspection; once live, you will be the institution's permanent watchdog for regulatory compliance.
If you hold a current AMIB Contralor Normativo certification, have deep knowledge of the CUCB and LMV, and want to build a control function from the ground up at a new casa de bolsa, this role is for you.
Challenges that await you:
Design and formalize the Internal Control Manual (Manual de Contraloría Interna) per CUCB
Establish the annual internal audit plan and risk-based control matrix
Review and sign off on all regulatory manuals prior to CNBV submission
Conduct the pre-operational self-assessment against the CNBV Authorization Guide checklist
Lead internal preparation for the CNBV commencement-of-operations inspection
Review the adequacy of all policies (AML, trading, custody, accounting) from a control standpoint
Verify that all AMIB certifications of registered personnel are current and valid
Once live: submit the annual informe de contraloría to the CNBV (CUCB Art. 226); conduct independent review of trading operations, account management, and settlement; coordinate with UAIR and the AML Compliance Officer; interface with CNBV examiners during inspections
What makes you a great fit:
Minimum 8 years in regulatory compliance, internal audit, or internal control at a regulated financial institution, preferably a
📌 Internal Controller (Ciudad de México)
🏢 Plata Card
📍 Ciudad de México
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