Xy-Planning-Network

Director of Policy and Regulatory Affairs Xy-Planning-Network

Remote — United States

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 & RepresentationDraft 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 trackedComment letters submittedMeetings with regulatorsEvidenced impact on policy changesThe Deets:Start Date: ImmediatelyStatus: Full-time (40-45 hours per week with flexible schedule)Location: Remote and/or Bozeman, MTOvertime Status: Exempt (i.e., overtime ineligible)Team: XYPN ComplianceReports To: Managing Director of Compliance and Regulatory AffairsDirect reports: NoneTravel: Up to 20% travelWhat 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 partnersComfort operating both strategically and operationally, from shaping advocacy priorities to executing day-to-day policy workStrong track record of managing high-stakes policy issues and building relationships with financial regulators at the state and federal levelLegally 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 regulationsExperience working directly with RIAs, state securities regulators, NASAA, or the SECExisting relationships within the state securities regulatory community or industry advocacy organizationsExperience representing an organization during rule-making proceedings, hearings, or formal regulatory engagement effortsProficiency 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 engagementExperience developing educational programming or training for regulators, industry professionals, or member organizationsBackground working within a membership organization, trade association, or advocacy-focused environmentStrong understanding of the operational realities and compliance challenges facing independent RIAsExperience coordinating cross-functional advocacy or policy communication efforts across multiple stakeholder groupsXYPN 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

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