XYPN

Compliance

• Monitor regulatory developments across all 50 states and the SEC
• Track new compliance issues, rule proposals, and comment periods
• Develop and maintain XYPN’s advocacy and policy roadmap
• Partner with the Managing Director and Executive Team on advocacy priorities and engagement recommendations
• Develop understanding of member firms, industry trends, and emerging regulatory issues
• Gather member feedback, case studies, and practical examples for advocacy positions
• Coordinate member communications about advocacy initiatives, regulatory updates, and policy resources
• Prepare members for legislative or regulatory hearings and meetings with regulators and legislators
• Develop and deliver educational sessions for legislators, regulators, members, and industry groups
• Build relationships with regulators, industry stakeholders, advocacy partners, and member firms
• Coordinate strategic partnerships with industry associations
• Draft policy positions, comment letters, white papers, policy briefs, issue summaries, case studies, and testimony
• Lead advocacy activity with individual states, the SEC, and NASAA
• Represent XYPN in meetings with regulators and other stakeholders
• Attend conferences, regulatory events, hearings, symposia, and working groups
• Report on policy issues tracked, comment letters submitted, regulator meetings, and evidenced policy impact
• Travel up to 20%

Director of Policy and Regulatory Affairs