Director of Policy and Regulatory Affairs

About XYPN

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.

This is an opportunity to join a company on a mission to help others—and you—live your best lives.

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 chang
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