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.