Compliance Analyst

Oak Hill Advisors; New York (NY); Hybrid; USD 90,000 - 110,000; Full time

Benefits offered by this job

Health and Welfare benefits

Retirement plan

Wellness programs

Hybrid in-office schedule (Mon-Thu)

Job summary

Oak Hill Advisors, L.P. is seeking an experienced regulatory compliance professional to join its New York team. You will serve as a go-to expert across the Investment Advisers Act, the Investment Company Act, and related regulations within a collaborative environment.

You will monitor trading rules, assist with filings, and support privacy, ethics records, and AML/KYC data processes while working a hybrid in-office schedule in New York.

Qualifications

• 2-4 years of relevant investment advisory experience preferred.
• Familiarity with broker-dealer regulations, Investment Company Act regulations, and/or public company rules is a plus.
• Strong undergraduate academic background.
• Ability to interpret, analyze facts, and identify issues.
• Excellent written and verbal communication skills.

Responsibilities

• Assist with monitoring trading regulations and trade surveillance activities.
• Help manage confidential information and maintain privacy standards.
• Support compliance efforts in marketing, disclosures, and communication.
• Aid in tracking broker-dealer regulations and requirements.
• Assist with preparing and organizing regulatory filings.
• Support portfolio compliance reviews and documentation.
• Help maintain code of ethics records and compliance procedures.
• Participate in compliance testing and provide administrative support.
• Assist with custody documentation and related processes.
• Help manage information security and privacy protocols.
• Support AML and KYC data collection and review.
• Assist in organizing compliance training sessions.
• Contribute to maintaining daily operational processes and recordkeeping.
• Provide support for infrastructure initiatives and projects.
• Help update and maintain compliance policies and procedures.
• Assist with internal business communications and documentation

Skills

Broker-dealer regulations

Investment Company Act regulations

Public company rules

Risk analysis

Written communication

Oral communication

Interpersonal skills

Regulatory trend analysis

Education

Bachelor's degree in a relevant field

Tools

Excel

PowerPoint

Word

Outlook

Job description

About Oak Hill Advisors

Oak Hill Advisors, L.P., including its affiliated investment advisors (the "Firm" or "OHA"), is a leading global credit-focused alternative asset manager with over 30 years of investment experience. OHA works with institutions and individuals and seeks to deliver a consistent track record of attractive risk-adjusted returns. The Firm has approximately $112 billion in assets under management (AUM) across credit strategies, including private credit, high yield bonds, leveraged loans, stressed and distressed debt and collateralized loan obligations as of June 30, 2026. With over 400 experienced professionals across seven global offices, OHA brings a collaborative approach to offering investors a single platform to meet their diverse credit needs. OHA is the private markets platform of T. Rowe Price Group, Inc. (NASDAQ - GS: TROW). For further information about OHA, please visit www.oakhilladvisors.com.

Overview

OHA is seeking an experienced professional to join a strong regulatory compliance team in New York. This is an opportunity to be a go-to expert in investment management regulations in the context of a successful and complex enterprise, while enjoying the support and camaraderie of an established legal and compliance team. The members of OHA's regulatory compliance team are generalists across the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934 and other laws and regulations relevant to fund management and investment advisory activities. The firm believes it and its regulatory compliance team are better served by its professionals working in all areas of regulatory compliance over time.

Responsibilities

• Assist with monitoring trading regulations and trade surveillance activities
• Help manage confidential information and maintain privacy standards
• Support compliance efforts in marketing, disclosures, and communication
• Aid in tracking broker-dealer regulations and requirements
• Assist with preparing and organizing regulatory filings
• Support portfolio compliance reviews and documentation
• Help maintain code of ethics records and compliance procedures
• Participate in compliance testing and provide administrative support
• Assist with custody documentation and related processes
• Help manage information security and privacy protocols
• Support Anti-Money Laundering (AML) and Know Your Customer (KYC) data collection and review
• Assist in organizing compliance training sessions
• Contribute to maintaining daily operational processes and recordkeeping
• Provide support for infrastructure initiatives and projects
• Help update and maintain compliance policies and procedures
• Assist with internal business communications and documentation

Qualifications

• 2-4 years of relevant investment advisory experience preferred
• Familiarity with broker-dealer regulations, Investment Company Act regulations, and/or public company rules is a plus
• Strong undergraduate academic background
• Demonstrated work ethic and proactive approach
• Ability to interpret, analyze facts, and identify issues
• Organized and thorough, with sound judgment in risk-related matters
• Strong interpersonal skills and ability to contribute to projects and processes
• Ability to manage competing deadlines with limited supervision
• Effective written and verbal communication skills
• Understanding of applicable rules and regulations
• Ability to learn and use emerging technologies (including AI tools) to support and streamline compliance processes and day-to-day workflows
• Ability to analyze and summarize legal and regulatory developments
• Proficiency in core technology and quantitative tools (Excel, PowerPoint, Word, Outlook)
• In-Office Requirement: Employees are required to follow the in-office work schedule. Currently, OHA's Legal and Compliance team in New York follows a hybrid model where employees work in-office Monday through Thursday. Employees have the flexibility to work remotely on Fridays. This schedule is subject to change based on organizational needs and policies.
• Other duties may be assigned.

New York Base Salary Range

$90-110,000 USD

Benefits

We invest in our people through a wide range of programs and benefits offerings, including:

• Competitive total compensation and generous retirement plan contributions
• Health and Welfare benefits (medical, dental, vision, life and disability)
• Tax-efficient vehicles to cover out-of-pocket health care costs, commuting expenses and dependent care expenses
• Wellness programs (fitness reimbursement, Employee Assistance Program)
• Access to discounted voluntary benefits that provide supplemental coverage for a variety of situation

Equal Employment Opportunity

It is the policy of OHA to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, sex (including pregnancy, perceived pregnancy, childbirth, breastfeeding and related medical conditions), gender, gender identity, gender expression, national origin, age, disability, medical condition, caregiver status, military or veteran status, sexual orientation, pregnancy, marital status, partnership status, status as a victim of domesticviolence, sexual assault, or stalking, gender identity or expression, alienage or citizenship status, arrest or conviction record, genetic information, reproductive health decision-making, or any other status or condition protected, in each case
to the extent protected by applicable federal, state or local law ("protected characteristic"). This policy applies to applicants and employees and to all aspects of employment including recruitment, hiring, training, compensation, benefits, promotion, discipline, discharge and all other terms and conditions of employment.

Our policies may change as our working lives evolve. However, our commitment to supporting our employees' well-being and addressing the needs of our investors, business and communities is and will remain unwavering