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Overview
Seeking a senior Internal Controller for Casa de Bolsa Plata to ensure regulatory compliance as the firm prepares for CNBV licensing and operations starting December 2026. 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.
What you'll do
- •Design and formalize the Internal Control Manual (Manual de ContralorÃa 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 contralorÃa 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
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