Director of Policy and Regulatory Affairs

This is a fully remote position, open to applicants in Arizona, +15 more states.

📋 Description

• Oversee significant regulatory developments across all 50 states and the SEC, ensuring prompt awareness of new compliance challenges, rule proposals, and feedback periods.

• Create and uphold XYPN’s advocacy and policy strategy, including issue tracking, prioritization, engagement status, and forthcoming actions.

• Collaborate with the Managing Director and Executive Team to define advocacy priorities and offer well-informed recommendations on engagement prospects.

• Acquire a thorough understanding of XYPN member firms, industry dynamics, and emerging regulatory concerns to shape advocacy priorities and pinpoint opportunities to sway regulation.

• Establish reliable channels for collecting member feedback, case studies, and practical examples to guide XYPN’s advocacy stances.

• Manage member-oriented communications regarding advocacy efforts, regulatory updates, and policy resources.

• Collaborate with members to prepare for legislative or regulatory hearings, discussions with state regulators and legislators, and other advocacy opportunities, including testimony and supporting documents.

• Design and conduct educational sessions for legislators, regulators, XYPN members, and industry groups on regulatory trends, RIA business models, operational realities, and the implications of proposed regulations.

• Cultivate constructive relationships with regulators, industry stakeholders, advocacy partners, and member firms to foster ongoing dialogue and collaboration.

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

• Compose policy positions and supporting documents, including comment letters, white papers, policy briefs, issue summaries, case studies, and testimony.

• Direct the execution of advocacy efforts in individual states, with the SEC, and with NASAA, including preparing formal responses to proposed regulations, policies, and rulemaking initiatives.

• Represent XYPN in discussions with state and SEC regulatory personnel, NASAA representatives, and other relevant stakeholders concerning advocacy and rulemaking issues.

• Participate in industry conferences, regulatory events, hearings, symposia, and working groups to enhance relationships and remain engaged in evolving policy dialogues.

• Responsible for reporting on activities and impact-related metrics, including: tracked policy issues, submitted comment letters, meetings with regulators, and demonstrated influence on policy changes.

⛳️ Requirements

• 5+ years of relevant experience in public policy, regulatory affairs, government relations, securities regulation, or financial services advocacy, including experience in tracking, analyzing, and responding to state and/or federal regulatory developments.

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

• Superior written communication skills with experience in drafting white papers, policy briefs, and comment letters.

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

• Strong comprehension of the securities and financial services regulatory framework governing investment advisers.

• Proficient in relationship management, with the capability to establish credibility among regulators, members, and industry partners.

• Comfortable functioning both strategically and operationally, from shaping advocacy priorities to executing daily policy tasks.

• Proven track record in managing high-stakes policy issues and building relationships with financial regulators at both state and federal levels.

• Legally authorized to reside and work in the United States without present or future sponsorship requirements.

🏝️ Benefits

• Unlimited vacation days to promote work-life balance (we require a minimum of 3 weeks of vacation per year).

• 9 paid holidays (we offer flexible holiday options!).

• 401(k) plan with matching contributions; you contribute 6%, and we contribute 4.5%.

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

• Health insurance with employer contribution.

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

• Availability of pet insurance.

• Health Savings & Flexible Spending (Health, Limited & Dependent Care) Accounts available.

• Employer-paid Life and AD&D insurance.

• Employer-paid Long Term Disability coverage.

• Up to $150 per month to cover the cost of working with a financial planner, plus up to $500 toward the upfront fee.

• $2000 per year (prorated by start date) designated for professional development.

• $250 per quarter allocated for personal wellness in line with 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 additional time off at 5, 10, and 15 years of service.

• Subsidized employer-sponsored childcare through our internal childcare program (subject to availability).

• Discounts available for various gyms.

• A company-owned laptop computer provided (Apple Products).