Director of Policy and Regulatory Affairs

This is a fully remote position, open to applicants in Arizona, +9 more states.

📋 Description

• Oversee regulatory developments across all 50 states and the SEC.

• Monitor new compliance challenges, rule proposals, and comment periods.

• Create and uphold XYPN’s advocacy and policy roadmap.

• Collaborate with the Managing Director and Executive Team on advocacy priorities and engagement strategies.

• Gain insight into member firms, industry trends, and rising regulatory concerns.

• Collect member feedback, case studies, and practical examples for advocacy stances.

• Manage member communications regarding advocacy initiatives, regulatory news, and policy resources.

• Prepare members for legislative or regulatory hearings and meetings with lawmakers and regulators.

• Design and deliver educational sessions for legislators, regulators, members, and industry organizations.

• Cultivate relationships with regulators, industry stakeholders, advocacy partners, and member firms.

• Organize strategic partnerships with industry associations.

• Compose policy positions, comment letters, white papers, policy briefs, issue summaries, case studies, and testimonies.

• Lead advocacy efforts with individual states, the SEC, and NASAA.

• Represent XYPN in discussions with regulators and other stakeholders.

• Attend conferences, regulatory events, hearings, symposia, and working groups.

• Report on tracked policy issues, submitted comment letters, regulator meetings, and demonstrated policy impact.

• Travel up to 20% of the time.

⛳️ Requirements

• At least 5 years of relevant experience in public policy, regulatory affairs, government relations, securities regulation, or financial services advocacy.

• Proven experience tracking, analyzing, and responding to state and/or federal regulatory changes.

• Capability to independently analyze and summarize complex securities legislation and regulatory proposals.

• Strong written communication abilities.

• Experience in drafting white papers, policy briefs, and comment letters.

• Knowledge of administrative rulemaking processes, public comment procedures, regulatory hearings, and policy engagement strategies.

• In-depth understanding of the securities and financial services regulatory framework governing investment advisers.

• Excellent relationship management skills with regulators, members, and industry partners.

• Ability to function strategically as well as operationally.

• Track record of managing high-stakes policy matters and fostering relationships with state and federal financial regulators.

• Legally authorized to live and work in the United States without current or future sponsorship.

• Proficiency with regulatory tracking tools such as GovHawk, Quorum, or Lexis State Net is a plus.

• Familiarity with RIAs, state securities regulators, NASAA, or the SEC is advantageous.

• A JD or legal background is a plus.

• Experience representing an organization during rule-making processes, hearings, or formal regulatory engagements is advantageous.

• Ability to influence policy outcomes through advocacy, coalition-building, or regulator engagement.

• Experience in developing educational programming or training.

• Background in a membership organization, trade association, or advocacy-focused setting.

• Understanding of the operational realities and compliance challenges faced by independent RIAs.

• Experience coordinating cross-functional advocacy or policy communication efforts.

🏝️ Benefits

• 100% employer-funded Employee Stock Ownership Plan (ESOP).

• Unlimited vacation days; a minimum of 3 weeks of vacation per year is required.

• 9 paid holidays with flexible holiday options.

• 401(k) plan with matching contributions: employee contributes 6%, employer contributes 4.5%.

• 12 weeks of paid parental leave for birth or adoption.

• Health insurance with employer contribution.

• Options for Dental, Vision, Voluntary Life and AD&D, and Accident insurance.

• Availability of pet insurance.

• Health Savings & Flex Spending Accounts.

• Employer-paid Life and AD&D insurance.

• Employer-paid Long-Term Disability coverage.

• Up to $150/month for financial planner services, plus up to $500 toward the upfront fee.

• $2,000/year professional development budget, prorated based on start date.

• $250/quarter wellness/personal spending benefit.

• $500 donation to a nonprofit of choice after volunteering 40 hours within the calendar year.

• Sabbatical program with cash bonus and extra time off at 5, 10, and 15 years.

• Subsidized employer-sponsored childcare, subject to availability.

• Various gym discounts.

• Company-owned Apple laptop provided.

• Options for remote work and/or location in Bozeman, MT.

• Flexible scheduling.