Director of Policy and Regulatory Affairs

Role Overview

• 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.

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).