XY Planning Network (XYPN) is the leading organization for fee-only financial advisors who want to serve their Gen X and Gen Y peers, providing comprehensive financial planning services for a monthly subscription fee and without product sales or asset minimums. The Network offers a virtual community for new and established financial advisors who want to serve a younger clientele, and provides its members compliance support services, marketing support, business tools and templates, a wide range of technology solutions, and our various service lines.
XYPN was nationally recognized as one of The 346 Best Places to Work in 2019 by Inc. magazine. In addition, we have earned accolades in 2018, 2019, and 2020 as one of the Fastest-Growing Private Companies in Montana and in the US by Inc. magazine. This is an opportunity to join a rapidly growing company that is reshaping the financial services industry for the better.
Our mission is to “help people live their great lives”. We have the honor of helping tens of thousands of clients achieve their great lives by supporting the financial advisors who guide them in the financial planning process. We also have the privilege of helping over 1,200 financial planning entrepreneurs achieve their great lives by supporting their businesses' start and growth. Finally, we have the pleasure of helping our 60+ team members live their great lives by being a place where they want to come to work, supporting their unique life circumstances, and ultimately making a difference in the world so we can all leave our mark.
About the Position:
We’re searching for a full-time compliance expert to join our growing team of compliance professionals. As an XYPN Compliance Consultant, you’ll have the opportunity to showcase your knowledge of State and SEC Investment Adviser regulation as you work with fee-only advisors from coast to coast through XYPN’s member-exclusive compliance coaching services. What exactly do those services entail? Glad you asked! Through XYPN’s ongoing compliance coaching services, XYPN members have monthly or quarterly calls with a dedicated compliance expert (like you!) who know the specifics of their firm, understand their compliance needs, and help them develop and refine their compliance program as their firm grows. Our goal? To help new and established advisors understand and embrace their role as Chief Compliance Officer of a State or SEC registered firm.
Because you’ll never hear us say, “This is the way it’s always been done,” you’ll be expected to continually improve our ongoing compliance coaching program as the needs of XYPN members evolve. Working alongside XYPN’s Senior Compliance Consultant and Director of Compliance, you’ll track core metrics to measure the ongoing success of the program, determine how capacity and efficiency are influenced by certain components of the program, and to inform changes to the program to ensure we’re delivering the quality results XYPN members expect from us.
And the fun doesn’t stop there! You’ll also have the chance to help with other department-level projects and/or initiatives, like developing guides and other resources for new and established firms to aid them in developing and refining their compliance program. And, as a go-to compliance expert, you’ll collaborate cross-departmentally to deliver an exceptional XYPN experience to all XYPN members.
What You’ll Do:
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What You’ll Bring to the Table:Must-Haves
What Would Make Us Drool: