Regulatory Compliance Analyst – Investment Management

Oak Hill Advisors; Fort Worth (TX); Hybrid; USD 95,000 - 135,000; Full time

Job summary

Oak Hill Advisors, L.P. Fort Worth seeks an experienced regulatory compliance professional to join its team, focusing on investment adviser act and related regulations.

The role offers hybrid in-office work with a strong emphasis on governance, risk management and policy implementation. You will monitor trading regulations, assist with regulatory filings, and support AML/KYC and information security processes.

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

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

Regulatory compliance

Broker-dealer regulations

Investment Company Act

Written and verbal

Excel

PowerPoint

Organization

Risk assessment

Education

Bachelor's degree

Tools

Excel

PowerPoint

Word

Outlook

Job description

Oak Hill Advisors, L.P. Fort Worth seeks an experienced regulatory compliance professional to join its team, focusing on investment adviser act and related regulations.

The role offers hybrid in-office work with a strong emphasis on governance, risk management and policy implementation. You will monitor trading regulations, assist with regulatory filings, and support AML/KYC and information security processes.