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 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.

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📌 Internal controller (casa de bolsa) (México)
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