Chief Compliance Officer
Chief Compliance Officer at Pluto — New York, NY, US
- Company: Pluto
- Location: New York, NY, US
- Employment type: FULL_TIME
- Salary: USD 200000–300000 / year
- Posted: 2026-07-17
About this role
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.