Compliance Analyst

Oak Hill Advisors • New York, NY

6h • $90,000 - $110,000 • Hybrid

About The Position

Oak Hill Advisors (OHA) is a leading global credit-focused alternative asset manager with over 30 years of investment experience. OHA is seeking an experienced professional to join its strong regulatory compliance team in New York. This role offers the opportunity to become a go-to expert in investment management regulations within a complex enterprise, supported by an established legal and compliance team. The regulatory compliance team members are generalists, covering various regulations such as the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other relevant laws for fund management and investment advisory activities. The firm encourages its professionals to gain experience across all areas of regulatory compliance over time.

Requirements

• 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)

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

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level