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Compliance Analyst, Finance & Banking

Job in Fort Worth, Tarrant County, Texas, 76102, USA
Listing for: Pomona College
Full Time position
Listed on 2026-07-02
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Compliance
Salary/Wage Range or Industry Benchmark: 80000 - 100000 USD Yearly USD 80000.00 100000.00 YEAR
Job Description & How to Apply Below

and the job listing Expires on July 3, 2026

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 March 31, 2026.

With over 400 experienced professionals across six 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

Overview

OHA is seeking an experienced professional to join a strong regulatory compliance team in Fort Worth. 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 Fort Worth follows a hybrid model where employees work in‑office Tuesday through Thursday. Employees have the flexibility to work remotely on Mondays and Fridays. This schedule is subject to change based on organizational needs and policies.
  • Other duties may be assigned.

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

  • Competitive total…
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