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ARQ is a fast-growing fintech building cross-border payment and wealth infrastructure. You will serve as the certified investment advisor and regulatory officer for ARQ's investment advisory entity in Mexico, owning the advisory function end-to-end and acting as the accountable person before the CNBV (Mexican financial regulator).
Key Responsibilities:
- Act as the certified investment advisor, accountable for all customer recommendations
- Own the advisory framework including investor profiling, product profiling, suitability assessments, and recommendation reasonableness
- Develop and maintain core entity policies: Marco General de Actuación, Guía de Servicios de Inversión, conflicts of interest policies, and disclosure frameworks
- Serve as primary CNBV contact, managing information requests, supervisory visits, and remediation efforts
- Own regulatory reporting and RAI obligations, including Anexo C and annual financial filings
- Partner with product, engineering, and legal teams to translate regulatory requirements into product specifications
- Review and approve customer-facing content, model portfolios, and investment communications
- Monitor advisory activity to ensure all recommendations are suitable and properly documented
- Contribute to ARQ's broader wealth roadmap in Mexico, including future license applications
You will work 3-4 days per week in the Mexico City office, collaborating closely with global teams to build a digital, scalable wealth product.
Requirements:
- Current AMIB certification for investment advisory (or willingness to obtain)
- 5+ years of experience in investment advisory, wealth management, or investment services compliance at a CNBV-regulated entity
- Deep knowledge of Ley del Mercado de Valores and Disposiciones de Servicios de Inversión
- Hands-on experience with investor profiling and suitability frameworks
- Ability to work with product and engineering teams and translate regulation into practical product requirements
- High ownership, sound judgment, and ability to deliver in a fast-paced, high-scrutiny environment
- Fluent Spanish and professional English
Nice-to-haves:
- Experience at a digital broker, robo advisor, or wealth fintech
- Knowledge of ETFs and US-listed securities
- Experience setting up a new regulated entity or license in Mexico
- Knowledge of PLD/FT (anti-money laundering) obligations for investment services
- Experience with CNBV regulatory reporting systems such as SITI
- Track record of direct CNBV engagement (information requests, supervisory visits)
