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Internal Controller (Casa de Bolsa)

Plata

MexicoFull-timeNo compensation foundPosted 2mo agoVerified open 1w ago
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At a glance

Compensation
No compensation found
Location
Mexico
Schedule
Full-time
Work Authorization
US work authorization required

Requirements

Credentials this posting asks for.

AMIB Contralor Normativo CertificationBachelor's degree

Job overview

Plata is hiring an Internal Controller (Casa de Bolsa). Plata is seeking a senior and experienced Internal Controller to serve as the regulatory compliance backbone of Casa de Bolsa Plata, a new brokerage firm in its pre-operational phase. This statutory role requires individual regulatory accountability before the CNBV. The Internal Controller will operate independently from business lines, reporting directly to the Board of Directors, and will ensure the firm is ready to pass CNBV inspection and maintain regulatory compliance once operational.

Key focus areas include Design and formalize the Internal Control Manual per CUCB, Establish the annual internal audit plan and risk-based control matrix, and Review and sign off on all regulatory manuals prior to CNBV submission.

Successful candidates bring 8+ Yrs Regulatory Compliance, 8+ Yrs Internal Audit, and 8+ Yrs Internal Control. Important skills include LMV, CUCB, Internal Control Manual, Internal Audit Plan, Risk-Based Control Matrix, and AML Policies. Preferred (not required): CNBV, Regulatory Manuals, Joining An Institution During Its Pre-Operational Phase, and Joining An Institution During Its Start-Up Phase.

Skills & qualifications

RequiredNice to have

Skills

LMVCUCBCNBVInternal Control ManualInternal Audit PlanRisk-Based Control MatrixRegulatory ManualsAML PoliciesTrading PoliciesCustody PoliciesAccounting PoliciesAMIB CertificationsInformes De ContraloríATrading Operations ReviewAccount Management ReviewSettlement ReviewUAIR CoordinationAML Compliance Officer CoordinationRegulatory ComplianceOperating With Strict Independence From Business LinesAdvanced EnglishAdvanced SpanishJoining an Institution During Its Pre-Operational PhaseJoining an Institution During Its Start-Up Phase

Qualifications

AMIB Contralor Normativo Certification8 Years in Regulatory Compliance8 Years in Internal Audit8 Years in Internal Control at a Regulated Financial InstitutionRegistered With the CNBVAccept Personal Regulatory AccountabilityPrior Experience as Contralor Normativo at Another Casa De Bolsa

Full job description

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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