XYPN

Role Description At XYPN Sapphire, our mission is to help advisors live their great lives by allowing them to focus on the work they do best. As a Trading Specialist, you'll play a critical role in delivering on that promise. - Execute advisor trade requests accurately and within established service-level expectations - Process trade instructions and implement system-recommended portfolio rebalances - Review proposed trades for accuracy and suitability before execution - Submit trades for execution through custodial platforms and monitor trade status and allocations - Research and resolve trade exceptions and corrections - Respond to trading-related inquiries from internal service teams in a timely manner - Produce portfolio analyses and reports as requested by advisors and internal stakeholders - Maintain model portfolio marketing materials and supporting documentation - Track work and maintain workflow visibility through monday.com - Support the Investment Policy Committee through research, reporting, and administrative tasks as needed - Contribute to process improvement initiatives that increase efficiency, accuracy, and advisor satisfaction Qualifications - 0–3 years of experience at an RIA, custodian, broker-dealer, or other financial services firm - Exceptional attention to detail and a strong commitment to accuracy - Ability to identify discrepancies and proactively resolve issues - Strong organizational and time-management skills - Comfort working in a deadline-driven environment - Ability to manage competing priorities and adapt as needs change - Tech-savvy with the ability to quickly learn new systems and software - Self-motivated and comfortable managing your workload independently - Strong written and verbal communication skills - A process-oriented mindset and desire to continuously improve how work gets done - Legally authorized to live and work in the United States without present or future need for sponsorship Requirements - Experience using Orion and Eclipse trading software - Experience working with Charles Schwab as a Custodian - Progress toward the CFA designation or interest in pursuing advanced investment credentials Benefits - $63,000 - $78,000 Annually - 100%- employer-funded Employee Stock Ownership Plan (ESOP) - Unlimited vacation days (minimum of 3 weeks required per year) - 9 paid holidays (flexible holidays offered) - 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 with employer contribution - Dental, Vision, Voluntary Life and AD&D, and Accident insurance options - Pet insurance availability - Health Savings & Flex Spending Accounts available - Employer-paid Life and AD&D insurance - Employer-paid Long Term Disability coverage - Up to $150/month for financial planner costs, plus up to $500 toward upfront fees - $2000/year (prorated by start date) for professional development - $250/quarter for personal wellness - $500 donation to a non-profit organization of your choice after volunteering 40 hours in a year - Sabbatical program with cash bonus and extra time off at 5, 10, and 15 years - Subsidized employer-sponsored childcare (subject to availability) - Various Gym discounts - Company-owned laptop computer provided (Apple Products)

• 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.

• 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.

• 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.

About the role Description As our Transition Specialist, you will serve as the operational backbone of the Sapphire onboarding process. You are responsible for ensuring all the behind-the-scenes steps required to bring a new advisor onto the platform are completed accurately, efficiently, and consistently. From paperwork preparation to tech setup and tracking systems, you will execute the core deliverables that allow the Transition Lead to focus on project ownership and advisor relationships. This role is essential to delivering a high-quality onboarding experience. By keeping systems running smoothly and tasks on track, you reduce friction, prevent delays, and ensure the transition process scales as the Sapphire program grows. You will also play a key role in identifying inefficiencies, documenting repeatable workflows, and suggesting ways to improve how onboarding happens. How You’ll Spend Your Time - 40–50% Preparing and managing Docusign paperwork and custodial forms - 25–35% Entering data, updating trackers, and executing platform setups - 10–15% Internal follow-up, task clarification, and issue escalation - 5–10% Process documentation and suggestions for improvement 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 - Prepare, format, and send Docusign packets for client and advisor paperwork - Enter advisor and client data into transition & onboarding trackers, spreadsheets, and internal tools - Set up advisor tech stack components (e.g., Schwab, Orion, CRM platforms) following documented steps - Track progress across onboarding deliverables; ensure nothing falls through the cracks - Follow up with internal stakeholders on pending tasks or missing inputs - Flag delays, errors, or inconsistencies to the Transition Lead proactively - Assist with formatting client agreements after compliance approval, where applicable - Maintain SOPs and process checklists; help identify tasks that can be templatized or automated - Help transition onboarded advisors to the Client Service team by ensuring documentation and tracking are complete and accurate Measurables: - % of transition paperwork completed without errors or rework - Turnaround time on paperwork prep and tech setup - % of transition tasks completed within defined timeframes The Deets: Start Date: Immediately Status: Full-time (40-45 hours per week) Location: Remote and/or Bozeman, MT Overtime Status: Non-exempt (i.e., overtime eligible) Team: XYPN Invest / Sapphire Reports To: Transition Lead 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!) - 1-2+ years of experience in operations, client service, or administrative support - High attention to detail and ability to execute repeatable workflows - Comfort with tech tools and platforms (e.g., CRM, Docusign, spreadsheets, custodian systems) - Ability to follow SOPs while suggesting improvements when needed - Strong organizational and time management skills - Collaborative attitude and responsiveness in a team environment - Legally authorized to live and work in the United States without present or future need for sponsorship. What would make us drool: - Experience in RIA operations, custodial paperwork, or financial services onboarding - Familiarity with Schwab - Familiarity with Altruist and/or Fidelity - Familiarity with Wealthbox, Orion, or other fintech platforms - Strength in documentation, SOP writing, or systematizing manual work 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: - Salary: $63,000 - $78,000 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.

About the role The Client Service Specialist is a frontline member of the Client Service team, responsible for delivering accurate, timely, and high-quality operational support to financial advisors across our TAMP and Sapphire platforms. This role focuses on execution, follow-through, and clear communication. Client Service Specialists work service requests end-to-end, collaborate closely with teammates, and escalate questions or complex issues to the Client Service Manager for guidance and coaching. We’re looking for someone who can approach each service request with an understanding of the advisor’s broader context and goals. While timely resolution is important, success in this role means helping advisors move their work forward, not simply completing individual tasks. XY Investment Solutions, LLC, DBA XYPN Sapphire, is an SEC-registered investment adviser offering two service models: a TAMP/sub-advisory platform and a corporate RIA affiliation model. Sapphire allows fee-only advisors to operate under our RIA while we provide compliance, investment, and operational support so they can focus on serving their clients. 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. Please note: We are specifically looking for candidates that are willing to cover Pacific or Mountain Standard Time Zones. What you'll be doing 1. Advisor Support & Service Execution - Respond to advisor service requests through our ticketing system and phone in a timely, professional manner. - Own service requests through to completion, ensuring clear communication and proactive follow-up. - Coordinate with custodians to resolve NIGOs, facilitate fund transfers, and track requests to resolution. - Accurately complete paperwork, forms, and Docusign envelopes with a high degree of attention to detail. - Prepare and send client agreements and support advisor onboarding activities, ensuring accuracy, clarity, and timely follow-through. 2. Ticket Ownership & Team Collaboration - Work assigned tickets independently while collaborating with teammates to move shared or related items across the finish line. - Maintain clear visibility into work status using internal tools and systems. - Support team success by helping unblock work when priorities shift or capacity is constrained. - Follow prioritization guidance and service standards set by the Client Service Manager. 3. Quality, Accuracy & Continuous Improvement - Ensure service work is completed accurately, thoroughly, and in alignment with documented processes. - Identify patterns, recurring issues, or process gaps and surface them to the Client Service Manager. - Contribute ideas that improve efficiency, clarity, or advisor experience. - Participate in team training and coaching to continue building technical and operational skills. Measurables: - Number of tickets resolved fully - First response time The Deets: Start Date: Immediately Status: Full-time (40-45 hours per week, 8:00am-5:00pm coverage ) Location: Remote and/or Bozeman, MT. Coverage over Pacific & Mountain Standard Time. Overtime Status: Non-exempt (i.e., overtime eligible) Team: XYIS Reports To: Client Service Manager 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!) - 1+ years of experience in customer service or operational support - 1+ years of experience in financial services - Strong attention to detail and pride in producing accurate, high-quality work - Clear written and verbal communication skills - Comfort working across multiple systems and learning new tools quickly - Strong organizational skills and the ability to manage multiple open work items - A collaborative mindset and willingness to ask questions, seek feedback, and learn - Comfort with both routine work and changing priorities in a fast-paced environment What would make us drool: - Prior experience working in an RIA, TAMP, or broker-dealer environment - Experience working with Charles Schwab or other custodians - Orion experience 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: - Salary: $59,000 - $ 75,000 - 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.

• Oversee Transition/Onboarding and Client Service functions. • Own advisor lifecycle experience, ensuring consistency from onboarding to ongoing service. • Design and evolve team structure, clarity, specialization, and performance standards as advisor volume increases. • Establish and monitor onboarding and service performance metrics, ensuring predictability, responsiveness, and quality. • Develop structured mechanisms to monitor advisor experience quantitatively (NPS, service metrics) and qualitatively (feedback). • Maintain understanding of the advisor base, adopting service models accordingly. • Serve as the senior escalation point for high-risk advisor issues and dissatisfaction. • Own service-related advisor retention, identifying at-risk advisors and leading proactive plans. • Coordinate advisor-facing operational communication, ensuring a clear voice aligned with our brand. • Partner with departments to shape related updates and shape advisor-impacting initiatives. • Develop onboarding documentation, service standards, and communication frameworks. • Evaluate capacity trends and hiring needs to build scalable staffing models.