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.
