Internal Controller (Casa de Bolsa)
At a glance
Mid-level Accounting role at Plata Card. Mexico.
Pay not stated Accounting salary
financeroles summary, based on the employer's posting.
What you'll do
- Create the Internal Control Manual under CUCB rules, then set the yearly audit schedule and risk-based controls
- Review regulatory manuals before CNBV filing and assess AML, trading, custody and accounting policies for control gaps
- Use the CNBV authorization checklist to test readiness and coordinate preparation for the opening inspection
- Check that registered staff keep valid AMIB certifications, then independently review trading, accounts and settlement
- Send the annual control report to CNBV, coordinate with UAIR and AML, and meet with CNBV examiners
What you bring
- At least eight years in compliance, audit or control work within a regulated financial organization
- A valid AMIB Contralor Normativo certification, a mandatory qualification for this position
- In-depth knowledge of CUCB, LMV and CNBV review and regulatory procedures
- Advanced English and Spanish, and readiness to register with CNBV and accept personal accountability
Who this fits
This role suits a senior control professional who can build a function from scratch and work separately from business lines. You will report to the Board and carry personal accountability before CNBV. The role begins with pre-operational preparation and continues into ongoing oversight after launch.
From the employer
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.
Accounting work from LinkedIn, X, Reddit and Upwork, in one list.
Each morning you get everything that fits, strongest first.
Accounting
Find me workBy the team behind financeroles.