About XYPN

XY Investment Solutions (DBA XYPN Sapphire) is an SEC-registered investment adviser and subsidiary of XYPN. We manage approximately $1B in assets across two service models: a TAMP/ sub-advisory platform and a corporate RIA under which independent financial advisors register as IARs. Our advisors keep their own brands and client relationships, and we handle the compliance, investment management, and operational infrastructure behind them.

This means our primary "client" is the advisor, not the end client. We have a stronger emphasis on financial planning and non-AUM fee structures than most RIAs our size, and we're growing quickly, with around 50 advisors today and more joining regularly.

We prioritize a modern, fiduciary approach to advice, a younger and more diverse end-client base, and building systems deliberately rather than reactively.

About the role

We're looking for a Compliance Generalist to work closely with our compliance team and CCO as a an operational partner. This isn't a narrow, task-execution role; you'll contribute to the core parts of the compliance program, develop genuine breadth across our business, and build toward a compliance generalist role.

The right person enjoys both doing and problem-solving. You'll be working in an environment where not every policy is specifically defined yet and not every process is fully designed, which means real opportunity to shape how the program grows, not just maintain what's already there.

Where We Hire: We’re excited to review applications from across the U.S., but we give priority to candidates residing in the following states: AZ, CA, CO, FL, GA, IL, IN, MA, ME, MI, MN, MT, NC, NE, TX, UT, WA and WI

What you'll be doing

• Serve as a day-to-day partner of the compliance team. This looks like developing the depth and familiarity with our program to handle the majority of situations, and substitute during absences or continuity events. 
• Help maintain the Compliance Manual, BCP, and overall policies for the firm, able to answer  to a standard where you could run many operations independently if needed.
• Execute and document ongoing compliance testing, including fee billing audits across our subscription, flat-fee, and AUM structures. 
• Contribute to the annual Rule 206(4)-7 review process, identify gaps, and drive improvements.
• Review financial planning engagements and fee-for-service arrangements to ensure deliverables meet contractual obligations and regulatory standards
• Participate in and lead some of the compliance side of onboarding new advisors, including filings and training.
• Deliver training materials and handle some day-to-day guidance to advisors and staff; serve as the first-line of contact for compliance questions from a broad advisor base.
• Edit, recommend, and amend compliance policies as needed, by applying existing principles to new situations as they arise. Be flexible as some policies we're still building; you'll be part of that building process.
• Monitor TAMP operations, conduct compliance due diligence on strategies and sub-advisers, and document vendor reviews.
• Support Form ADV preparation (annual and interim), maintain required books and records, and assist with other regulatory filings (U4 updates, CRD/EDGAR submissions).
• Serve as a compliance resource for advisor questions — comfortable getting on a call and working through issues in real time, not just via email
• Administer personal trading monitoring and employee certifications.
• Help oversee Code of Ethics compliance.
• Help ensure the firm’s audit-readiness. Assist in coordinating document requests and responses during SEC examinations.
• Be able to review marketing materials and advisor communications for compliance with Rule 206(4)-1 as needed.

The Deets:

Start Date: Immediately

Status: Full-time (40-45 hours per week with flexible schedule)

Location: Remote and/or Bozeman, MT 

Overtime Status: Exempt (i.e., not overtime eligible)

Team: XYIS   

Reports To:  Chief Compliance Officer

Direct reports: None 

Travel: Up to 10% travel (e.g., 2-3 weeks /year) required for team retreats and other company events

What you'll bring to the table:

(If you think, “I only meet 80% of these qualifications,” still apply!)

• 3–8 years of compliance experience at an SEC-registered RIA (depending upon role)
• Working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations in a planning and fee-billing context
• Experience with compliance testing, monitoring, and regulatory filings
• Comfort with compliance technology platforms (Orion, Hadrius, ComplySci, RedOak, or similar) and systems like CRD, EDGAR, and IAPD
• Ability to work independently, manage competing priorities, and make good judgment calls without a playbook for every situation
• A proactive, solutions-oriented approach
• Approaches advisor interactions as a partner, not a gatekeeper; comfortable on calls and in the weeds with advisors on real issues
• Legally authorized to live and work in the United States without present or future need for sponsorship.

What would make us drool:

• Experience at multi-advisor firms or planning-first RIAs
• Familiarity with TAMP structures and third-party platform oversight
• Experience at a growing firm or startup environment
• Professional designations: IACCP, CSCP, or similar
• JD or legal background (useful, not required)

XYPN 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

Compensation & Benefits:

• $72,000 - $93,600 annually
• All team members at XYPN are owners! We offer a 100%- employer-funded Employee Stock Ownership Plan (ESOP). 
• Unlimited vacation days to maintain work-life harmony (we require that you take a minimum of 3 weeks of vacation per year)
• 9 paid holidays (we offer flexible holidays!)
• 401(k) with match; you put in 6%, and we put in 4.5%.
• 12 weeks paid parental leave for the birth or adoption of a child.
• Health insurance w/ employer contribution.
• Dental, Vision, Voluntary Life and AD&D, and Accident insurance options.
• Pet insurance availability 
• Health Savings & Flex Spending (Health, Limited & Dependent Care) Accounts available
• Employer-paid Life and AD&D insurance.
• Employer-paid Long Term Disability coverage.
• Up to $150/month to cover the cost of working with a financial planner, plus up to $500 toward the upfront fee.
• $2000/year (prorated by start date) to put towards professional development
• $250/quarter to spend on yourself specific to 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 extra time off at 5, 10, and 15 years.
• Subsidized employer-sponsored childcare through our internal child care program. (Subject to availability)
• Various Gym discounts 
• Company-owned laptop computer provided (Apple Products).

XYPN believes that our team members, and the individual identities and experiences of our team members, are our key differentiators. We won't settle for mere acceptance of each other's differences because we maintain that our team is better because of our differences, not in spite of them. As such, our culture celebrates, champions, supports, protects, and thrives on our various and collective identity categories. XYPN is beyond proud to be an equal opportunity employer.