Internal Controller (Fintech)

TL;DR

Internal Controller (Fintech): Establishing the regulatory compliance framework for a new brokerage firm with an accent on CNBV licensing and CUCB/LMV regulatory adherence. Focus on designing internal control manuals, conducting pre-operational self-assessments, and serving as the primary regulatory gatekeeper for the institution.

Location: Must be based in Mexico (Hybrid work)

Company

A new brokerage firm (Casa de Bolsa Plata) currently in its pre-operational phase, targeting CNBV licensing and commencement of operations in December 2026.

What you will do

• Design and formalize the Internal Control Manual in accordance with CUCB requirements.
• Establish the annual internal audit plan and risk-based control matrix.
• Conduct pre-operational self-assessments against the CNBV Authorization Guide.
• Review and sign off on all regulatory manuals prior to CNBV submission.
• Lead internal preparation for the CNBV commencement-of-operations inspection.
• Submit annual reports to the CNBV and coordinate with AML compliance functions.

Requirements

• Minimum 8 years of experience in regulatory compliance, internal audit, or internal control at a regulated financial institution.
• Current AMIB certification as Contralor Normativo (non-negotiable).
• Deep knowledge of CUCB, LMV, and CNBV inspection processes.
• Advanced English and Spanish proficiency.
• Willingness to accept individual regulatory accountability before the CNBV.
• Ability to operate with strict independence from business lines.

Nice to have

• Direct experience interfacing with CNBV examiners during 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.

Culture & Benefits

• Opportunity to build a control function from the ground up.
• Strategic role reporting directly to the Board of Directors.
• Hybrid work environment.
• Participation in a high-impact financial startup launch.