<p class="p1">We are looking for a senior and experienced <strong>Internal Controller</strong> (<strong>Contralor Normativo</strong>) to serve as the regulatory compliance backbone of <strong>Casa de Bolsa Plata</strong>, a new brokerage firm currently in its pre-operational phase, targeting CNBV licensing in the upcoming months and commencement of operations in December 2026.</p> <p class="p1">This is a statutory role required by the <strong>LMV</strong> and <strong>CUCB</strong> — and it carries individual regulatory accountability before the <strong>CNBV</strong>. 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.</p> <p class="p2">If you hold a current <strong>AMIB Contralor Normativo</strong> certification, have deep knowledge of the <strong>CUCB</strong> and <strong>LMV</strong>, and want to build a control function from the ground up at a new casa de bolsa, this role is for you.</p> <p class="p3"><strong>Challenges that await you:</strong></p> <p class="p4"> </p> <ul class="ul1"> <li class="li5">Design and formalize the <strong>Internal Control Manual</strong> (<strong>Manual de Contraloría Interna</strong>) per CUCB</li> <li class="li5">Establish the annual internal audit plan and risk-based control matrix</li> <li class="li5">Review and sign off on all regulatory manuals prior to <strong>CNBV</strong> submission</li> <li class="li5">Conduct the pre-operational self-assessment against the <strong>CNBV Authorization Guide</strong> checklist</li> <li class="li5">Lead internal preparation for the <strong>CNBV</strong> commencement-of-operations inspection</li> <li class="li5">Review the adequacy of all policies (AML, trading, custody, accounting) from a control standpoint</li> <li class="li5">Verify that all <strong>AMIB</strong> certifications of registered personnel are current and valid</li> <li class="li2">Once live: submit the annual <strong>informe de contraloría</strong> to the CNBV (CUCB Art. 226); conduct independent review of trading operations, account management, and settlement; coordinate with <strong>UAIR</strong> and the AML Compliance Officer; interface with CNBV examiners during inspections</li> </ul> <p class="p3"><strong>What makes you a great fit:</strong></p> <p class="p4"> </p> <ul class="ul1"> <li class="li5">Minimum 8 years in regulatory compliance, internal audit, or internal control at a regulated financial institution, preferably a <strong>casa de bolsa</strong></li> <li class="li5">Current <strong>AMIB certification as Contralor Normativo</strong> — this is a hard, non-negotiable prerequisite</li> <li class="li5">Deep knowledge of the <strong>CUCB</strong>, <strong>LMV</strong>, and CNBV inspection and regulatory processes</li> <li class="li5">Willingness to be individually registered with the <strong>CNBV</strong> and to accept the personal regulatory accountability that this entails</li> <li class="li2">Proven ability to operate with strict independence from business lines</li> <li class="li2">Advanced english and spanish</li> </ul> <p class="p3"><strong>Nice to Have:</strong></p> <p class="p4"> </p> <ul class="ul1"> <li class="li5">Direct experience interfacing with <strong>CNBV</strong> examiners during regulatory inspections</li> <li class="li5">Experience drafting or reviewing regulatory manuals for CNBV submission</li> <li class="li5">Prior experience as Contralor Normativo at another casa de bolsa</li> <li class="li2">Experience joining an institution during its pre-operational or start-up phase</li> </ul> <p class="p6"> </p> <p class="p7"><em>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.</em></p>