XYPN

Compliance

• 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.

Director of Policy and Regulatory Affairs

• Serve as a day-to-day partner of the compliance team.
• Maintain the Compliance Manual, BCP, and overall policies for the firm.
• Execute and document ongoing compliance testing, including fee billing audits.
• Contribute to the annual Rule 206(4)-7 review process.
• Review financial planning engagements and compliance of fee-for-service arrangements.
• Participate in onboarding new advisors, including filings and training.
• Deliver training materials and guidance to advisors and staff.
• Edit, recommend, and amend compliance policies as needed.
• Monitor TAMP operations and document vendor reviews.
• Support Form ADV preparation and assist with regulatory filings.
• Serve as a compliance resource for advisor questions.
• Administer personal trading monitoring and employee certifications.
• Help ensure the firm’s audit-readiness prior to examinations.
• Review marketing materials for compliance with Rule 206(4)-1.

Compliance Generalist

Chief Marketing Officer

• Develop and execute the marketing strategy that drives member growth, engagement, and long-term value.
• Ensure we attract the right advisors, convert them into members, and engage them throughout their lifecycle, shaping and strengthening our reputation in the market along the way.
• Bring together brand, demand generation, content, and lifecycle communications within a small, high-performing team.
• Identify where we invest, where we experiment, and how we measure success.
• Work with the VPs of Emerald and Sapphire to set marketing strategy and define positioning.
• Collaborate closely with Sales, Sales & Marketing Operations, Member Success, and Product to translate business goals into clear marketing priorities and ensure alignment across the funnel.

Director of Policy and Regulatory Affairs

Compliance Generalist

Director of Marketing