Director of Policy and Regulatory Affairs

🕒 July 22

🌵 Arizona, California, +14 more states – Remote

🌵 Arizona – Remote 🏄 California – Remote ⛰️ Colorado – Remote 🐊 Florida – Remote 🌽 Illinois – Remote 🦬 Montana – Remote 🌲 North Carolina – Remote 🏈 Ohio – Remote 🌲 Oregon – Remote 🍂 Massachusetts – Remote ❄️ Minnesota – Remote 🔔 Pennsylvania – Remote 🌴 South Carolina – Remote 🎸 Tennessee – Remote 🤠 Texas – Remote ⛷️ Utah – Remote

💵 $100k - $142k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

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XYPN

WebsiteLinkedInAll Job Openings

51 - 200 employees

💸 Finance

💼 Consulting

🤝 B2B

Finance • Consulting • B2B

XYPN is the only turnkey advice and planning platform that enables fee-for-service financial advisors to build their independent firms with complete autonomy. The company provides ongoing advocacy and access to education and training, curated technology, compliance support, community, and back-office and client support services, helping financial advisors realize their professional goals.

📋 Description

• Monitor for relevant regulatory developments across all 50 states and the SEC, ensuring timely awareness of new compliance issues, rule proposals, and comment periods. • Develop and maintain XYPN’s advocacy and policy roadmap, including issue tracking, prioritization, engagement status, and next steps. • Partner with the Managing Director and Executive Team to shape advocacy priorities and provide informed recommendations on engagement opportunities. • Develop a deep understanding of XYPN member firms, industry trends, and emerging regulatory issues to inform advocacy priorities and identify opportunities to influence regulation. • Develop consistent channels for gathering member feedback, case studies, and practical examples to inform XYPN’s advocacy positions. • Coordinate member-facing communications regarding advocacy initiatives, regulatory updates, and policy resources. • Partner with members to prepare for legislative or regulatory hearings, meetings with state regulators and legislators, and other advocacy opportunities, including testimony and supporting materials. • Develop and deliver educational sessions for legislators, regulators, XYPN members, and industry groups on regulatory trends, RIA business models, operational realities, and the impact of proposed regulation. • Build productive relationships with regulators, industry stakeholders, advocacy partners, and member firms to support ongoing dialogue and collaboration. • Draft policy positions and supporting materials, including comment letters, white papers, policy briefs, issue summaries, case studies, and testimony. • Lead execution of advocacy activity in individual states, with the SEC, and with NASAA, including preparing formal responses to proposed regulations, policies, and rulemaking initiatives. • Represent XYPN in meetings with state and SEC regulatory staff, NASAA representatives, and other relevant stakeholders on advocacy and rulemaking matters. • Attend industry conferences, regulatory events, hearings, symposia, and working groups to strengthen relationships and stay engaged in evolving policy conversations.

🎯 Requirements

• 5+ years of relevant experience in public policy, regulatory affairs, government relations, securities regulation, or financial services advocacy, including experience tracking, analyzing, and responding to state and/or federal regulatory developments. • Proven ability to independently analyze and summarize complex securities legislation and regulatory proposals. • Excellent written communication skills with experience drafting white papers, policy briefs, and comment letters. • Familiarity with administrative rulemaking processes, public comment procedures, regulatory hearings, and policy engagement strategies. • Strong understanding of the securities and financial services regulatory framework governing investment advisers. • Strong relationship management, with the ability to build credibility across regulators, members, and industry partners • Comfort operating both strategically and operationally, from shaping advocacy priorities to executing day-to-day policy work • Strong track record of managing high-stakes policy issues and building relationships with financial regulators at the state and federal level • Legally authorized to live and work in the United States without present or future need for sponsorship.

🏖️ Benefits

• Unlimited vacation days to maintain work-life harmony (we require that you take a minimum of 3 weeks of vacation per year) • 9 paid holidays (we offer flexible holidays!) • 401(k) with match; you put in 6%, and we put in 4.5%. • 12 weeks paid parental leave for the birth or adoption of a child. • Health insurance w/ employer contribution. • Dental, Vision, Voluntary Life and AD&D, and Accident insurance options. • Pet insurance availability • Health Savings & Flex Spending (Health, Limited & Dependent Care) Accounts available • Employer-paid Life and AD&D insurance. • Employer-paid Long Term Disability coverage. • Up to $150/month to cover the cost of working with a financial planner, plus up to $500 toward the upfront fee. • $2000/year (prorated by start date) to put towards professional development • $250/quarter to spend on yourself specific to our core value of "Be Well Being You.” • $500 donated to a non-profit organization of your choice when you volunteer 40 hours within the calendar year. • A sabbatical program that includes a cash bonus and extra time off at 5, 10, and 15 years. • Subsidized employer-sponsored childcare through our internal child care program. (Subject to availability) • Various Gym discounts • Company-owned laptop computer provided (Apple Products).