Internal Controller (Casa de Bolsa)

2 hours, 39 minutes ago
Lead
Finance and Accounting

Banco Plata, S.A., Institución de Banca Múltiple.

A banking and financial services company focused on digital consumer banking, including credit cards, accounts, investments, savings, and business accounts. Its site describes it as a technology-driven financial institution designed to make banking simple, transparent, and accessible in Mexico.

Banking / financial services
1001-5000
Founded 2023
$2000M raised

Description

  • Design and formalize the Internal Control Manual in accordance with CUCB requirements.
  • Establish the annual internal audit plan and a risk-based control matrix.
  • Review and approve regulatory manuals before submission to the CNBV.
  • Conduct the pre-operational self-assessment against the CNBV Authorization Guide checklist.
  • Lead internal preparation for the CNBV commencement-of-operations inspection.
  • Review the control adequacy of policies covering AML, trading, custody, and accounting.
  • Verify that AMIB certifications for registered personnel are current and valid.
  • Submit the annual contraloría report to the CNBV once the firm is operational.
  • Independently review trading operations, account management, and settlement processes.
  • Coordinate with UAIR, the AML Compliance Officer, and CNBV examiners during inspections.

Requirements

  • Minimum 8 years of experience in regulatory compliance, internal audit, or internal control at a regulated financial institution, preferably a brokerage firm (casa de bolsa).
  • Current AMIB certification as Contralor Normativo is required.
  • Deep knowledge of CUCB, LMV, and CNBV inspection and regulatory processes.
  • Willingness to be individually registered with the CNBV and accept personal regulatory accountability.
  • Ability to operate with strict independence from business lines.
  • Advanced English and Spanish.
  • Direct experience interfacing with CNBV examiners during regulatory inspections (preferred).
  • Experience drafting or reviewing regulatory manuals for CNBV submission (preferred).
  • Prior experience as Contralor Normativo at another casa de bolsa (preferred).
  • Experience joining an institution during its pre-operational or startup phase (preferred).

Interested in this position?

Apply directly on the company website

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