Director of Policy and Regulatory Affairs

About the role

XYPN is a leading voice for independent, fee-only financial planners, and advocates for modernized regulation that elevates fiduciary financial planning, separates sales from advice, protects investors, and reduces unnecessary burdens on small advisory firms.

With a network of more than 2,200 fee-only financial planners and experience registering more than 2,000 investment advisers nationwide, we support firms across all 50 states and the SEC, giving us unique insight into the regulatory and operational challenges faced by independent RIAs operating across multiple jurisdictions.

As XYPN’s Director of Policy and Regulatory Affairs, you’ll translate that expertise into meaningful advocacy and regulatory influence. You’ll work closely with our Managing Director of Compliance and Regulatory Affairs to shape and execute XYPN’s advocacy roadmap, leading efforts to monitor State & federal regulatory developments, develop policy positions, build relationships with regulators, and advance strategic engagement on issues impacting members.

You’ll drive engagement in relevant State and SEC rule-making, preparing comment letters on proposed regulation, representing XYPN in meetings and hearings, and developing and facilitating educational opportunities for both regulators and members. Through this work, you’ll help shape a regulatory environment that better supports fiduciary financial planning and independent advisory firms.

Where We Hire: We’re excited to review applications from across the U.S., but we give priority to candidates residing in the following states: AZ, CA, CO, FL, GA, IL, IN, MA, MN, MT, NC, OH, OR, PA SC, TN, TX, & UT

What you'll be doing

Regulatory Monitoring & Advocacy Strategy

• 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.

Stakeholder Engagement & Education

• 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.

Policy Development & Representation

• 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.

Measurables:

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

The Deets:

Start Date: Immediately

Status: Full-time (40-45 hours per week with flexible schedule)

Location: Remote and/or Bozeman, MT

Overtime Status: Exempt (i.e., overtime ineligible)

Team: XYPN Compliance

Reports To: Managing Director of Compliance and Regulatory Affairs

Direct reports: None

Travel: Up to 20% travel

What you'll bring to the table:

(If you think, “I only meet 80% of these qualifications,” still apply!)

• 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.

What would make us drool:

• 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

XYPN welcomes applications from individuals who may have had nontraditional career paths, or who may have taken time off for family reasons (e.g., children, caring for disabled or elderly family). We encourage applications from minorities, women, individuals with disabilities, protected veterans and all other qualified applicants

Compensation & Benefits: