Internal Controller (Casa de Bolsa)

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.