Sr. Internal Auditor

Legal team:

The Sr. Internal Auditor at Banco Plata plays a key role in strengthening the institution’s transparency, solidity, and trust. Their main responsibility is to support the review of processes and operations, ensuring regulatory compliance, efficient resource management, and proper control of financial, operational, and legal risks.

They participate in the execution of the annual internal audit plan—aligned with CNBV regulations—by conducting testing, analysing information, documenting findings, and following up on recommendations. They also contribute to the preparation of reports for the Audit Committee and other stakeholders, supporting the achievement of institutional objectives.

Additionally, they assist in addressing external audits and regulatory inspections, providing operational and documentary support to the Internal Audit Director.

Challenges that await you:

Audit Planning and Execution

• Design, propose, and execute audit plans for approval by the Director of Internal Audit.
• Execute the audit process with a comprehensive approach, including performing testing, documenting audit activities, drafting conclusions, conducting risk assessments of identified findings, presenting and discussing drafts, preparing reports, confirming observations, following up to completion, and ensuring compliance with the Annual Internal Audit Plan, all in accordance with Banco Plata’s Internal Audit Manual.

Comprehensive Audit Process

• Conduct risk-based audits, including control testing, documentation, issue identification, risk assessment, reporting, and follow-up until full resolution.
• Gather evidence through interviews, document reviews, system reviews, control testing (manual and automated), and data analysis, reporting directly to the Director of Internal Audit.
• Draft and present conclusions, validate observations, and oversee compliance under the supervision of the Internal Audit Directorate.

Regulatory and Internal Control Oversight

• Identify and report deficiencies in regulatory compliance and internal controls. Validate, as a third line of defense, the design of controls and their operational effectiveness.
• Stay up to date with relevant regulations and changes to ensure timely adoption within Banco Plata.
• Actively support the Director of Internal Audit in participation with the Board of Directors and committees (mainly the Risk Committee and Audit Committee).

Subject Matter Expert (SME)

• Provide guidance on regulatory compliance for major new projects while maintaining independence and objectivity.
• Evaluate, as a third line of defense, risk mitigation strategies for new products, regulatory changes, and process updates.

Regulatory Interaction

• Actively participate in and support regulatory audits and inspections conducted by CNBV, Banxico, IPAB, and others.

What makes you a great fit:

• Minimum of 5 years of experience in banking institutions, either as an internal auditor or in roles related to supporting internal audit requirements.
• Handle specific requirements related to inspections from CNBV, Banco de México, and other authorities.
• Hands-on experience in auditing or assessing control environments in the following areas:
• Banking systems
• Operational, credit, regulatory, and governance risks
• Business Continuity Planning (BCP)
• AML/KYC, fraud prevention regulations, risks, and controls
• Origination, acquisition, and payments

• Strong technical capability, integrity, and a satisfactory credit history, in line with regulations applicable to banking institutions.
• Solid knowledge of banking regulatory compliance, internal controls, and audit methodologies.
• Excellent written and verbal communication skills, with the ability to build effective professional relationships across multicultural teams and vendors.