Director of Policy and Regulatory Affairs

XYPN is the only turnkey advice and planning platform that makes it possible for fee-only financial advisors to build the independent firm of their dreams with complete autonomy. We do this through ongoing advocacy and access to education and training, curated technology, compliance support, community, and back-office and client support services.

• 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.
• Coordinate strategic partnerships with industry associations, including IAA, FPA, NAPFA, CFP Board, and other aligned organizations.

• 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.

Accountable for reporting on activity and impact related metrics ranging from:

• • Policy issues being tracked
  • Comment letters submitted
  • Meetings with regulators
  • Evidenced impact on policy changes

• 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.

• JD or legal background, particularly related to securities laws and related rules and regulations 
• Experience working directly with RIAs, state securities regulators, NASAA, or the SEC
• Existing relationships within the state securities regulatory community or industry advocacy organizations
• Experience representing an organization during rule-making proceedings, hearings, or formal regulatory engagement efforts
• Proficiency with regulatory tracking tools like GovHawk, Quorum, or Lexis State Net.
• Proven ability to influence or shape policy outcomes through advocacy, coalition-building, or regulator engagement
• Experience developing educational programming or training for regulators, industry professionals, or member organizations
• Background working within a membership organization, trade association, or advocacy-focused environment
• Strong understanding of the operational realities and compliance challenges facing independent RIAs
• Experience coordinating cross-functional advocacy or policy communication efforts across multiple stakeholder groups