Chief Compliance Officer

Key Responsibilities

Regulatory & CFTC Oversight

Serve as the primary compliance contact with the CFTC and NFA

Lead final steps toward DCM and DCO designation approval

Ensure ongoing compliance with all applicable CFTC Core Principles

Manage regulatory reporting, filings, and examinations

Compliance Program Buildout

Design and implement Pluto’s end-to-end compliance framework

Establish and maintain policies across

• Market surveillance
• Trade monitoring
• AML / KYC
• Conflicts of interest
• Recordkeeping and reporting

Build internal controls to support a system capable of trillions in notional throughput

Market Surveillance & Risk

Oversee systems to detect and prevent

• Market manipulation
• Wash trading / self-trading
• Position limit violations

• Implement and manage real-time surveillance alerts (~150+ scenarios)
• Coordinate closely with risk and engineering on clearing and default procedures

Clearinghouse Compliance (DCO)

Ensure compliance with clearing requirements

• Margin methodologies (initial + variation)
• Default management processes
• Stress testing and risk waterfalls

Oversee participant onboarding standards and ongoing monitoring

Internal Leadership

• Act as a key member of the executive team
• Hire and lead the compliance and surveillance team over time
• Partner with engineering, product, and operations to embed compliance into system design

• Qualifications
• Required

• 5+ years of experience in derivatives compliance, regulation, or exchange operations
• Deep familiarity with CFTC regulations, DCM/DCO frameworks, or similar market structures

Experience working with or at

• Exchanges
• Clearinghouses
• Broker-dealers / FCMs
• Regulatory bodies

Strong understanding of

• Market structure
• Trade surveillance
• Risk and clearing mechanics

Preferred

• Prior experience as or reporting to a CCO or Head of Compliance
• Experience launching or operating a regulated venue (exchange, ATS, clearinghouse)
• Familiarity with electronic trading systems and surveillance tooling
• Background in derivatives (futures, options, swaps)

Compensation

Salary

• $200,000 – $300,000
• Meaningful equity in a foundational, category-defining company

Why This Role Matters

You will be directly responsible for helping launch the first regulated market for compute, and the birth of a multi-trillion dollar asset class. This is a rare opportunity to define the compliance and regulatory foundation of an entirely new commodity market.