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 ****.
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
casa de bolsa
Current
AMIB certification as Contralor Normativo
— this is a hard, non-negotiable prerequisite
Deep knowledge of the
CUCB
,
LMV
, and CNBV inspection and regulatory processes
Willingness to be individually registered with the
CNBV
and to accept the personal regulatory accountability that this entails
Proven ability to operate with strict independence from business lines
Advanced english and spanish
Nice to Have:
Direct experience interfacing with
CNBV
examiners during regulatory inspections
Experience drafting or reviewing regulatory manuals for CNBV submission
Prior experience as Contralor Normativo at another casa de bolsa
Experience joining an institution during its pre-operational or start-up phase
If you're ready to build an internal control function from scratch and serve as the regulatory conscience of a new Mexican brokerage, we'd love to hear from you.

📌 Internal Controller (Casa De Bolsa) (México)
🏢 Plata Card
📍 México