What are the responsibilities and job description for the Compliance Coordinator position at Harris Williams?
Position Overview
Harris Williams will not provide sponsorship for employment visas or participate in STEM OPT for this position.
Job Description
Harris Williams (HW) is an investment bank focused on providing sell-side and acquisition advisory services to sellers and buyers of companies worldwide, including leading private equity groups, as well as many Fortune 500 and privately held companies. Harris Williams’ approximately 600 employees operate out of nine U.S. offices in Richmond, San Francisco, Boston, Charlotte, New York, Chicago, Cleveland, Minneapolis, and Washington, D.C., and two European offices in London and Frankfurt. Harris Williams is a subsidiary of The PNC Financial Services Group, Inc. (NYSE:PNC). For more information, please visit our website at: www.harriswilliams.com. MEMBER FINRA/SIPC.
Core Competencies
This position is responsible for the execution of activities in support of the firm’s risk and regulatory compliance efforts. Over time, this role has the potential for growth and promotion depending on personal performance as well as business and team needs.
Role & Responsibilities
This description reflects the core activities of the role but is not intended to be all-inclusive and other duties within the group/department may be required, in addition to changes in the emphasis of duties as required from time to time.
Base Salary: $50,000 – $60,000
Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position.
Preferred Skills
Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives
Competencies
Accuracy and Attention to Detail, Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem Solving, Quality Management
Work Experience
Roles at this level typically require a university / college degree with < 1 year of professional experience and/or successful completion of a formal development program. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
Education
Bachelors
Certifications
No Required Certification(s)
Licenses
No Required License(s)
Benefits
PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives.
In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service.
To learn more about these and other programs, including benefits for full time and part-time employees, visit pncthrive.com.
Disability Accommodations Statement
If an accommodation is required to participate in the application process, please contact us via email at AccommodationRequest@pnc.com. Please include “accommodation request” in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions.
Equal Employment Opportunity (EEO)
PNC provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.
This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.
California Residents
Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices.
Harris Williams will not provide sponsorship for employment visas or participate in STEM OPT for this position.
Job Description
Harris Williams (HW) is an investment bank focused on providing sell-side and acquisition advisory services to sellers and buyers of companies worldwide, including leading private equity groups, as well as many Fortune 500 and privately held companies. Harris Williams’ approximately 600 employees operate out of nine U.S. offices in Richmond, San Francisco, Boston, Charlotte, New York, Chicago, Cleveland, Minneapolis, and Washington, D.C., and two European offices in London and Frankfurt. Harris Williams is a subsidiary of The PNC Financial Services Group, Inc. (NYSE:PNC). For more information, please visit our website at: www.harriswilliams.com. MEMBER FINRA/SIPC.
Core Competencies
This position is responsible for the execution of activities in support of the firm’s risk and regulatory compliance efforts. Over time, this role has the potential for growth and promotion depending on personal performance as well as business and team needs.
Role & Responsibilities
- Support ongoing compliance training and education programs (firm element, regulatory element, etc.), including creation of user guides and tracking timely completion by employees
- Assist in the review and approval process for marketing communications, testing and review documentation, and collection of employee account statements
- Maintain employee records related to onboarding, FINRA registrations, and other regulatory and firm required documentation
- Ensure accurate collection of deal file materials and Compliance documents, in accordance with FINRA rules
- Document and follow up on HW and PNC processes on periodic certifications related to electronic communications, registrations, and books and records
- Support branch review preparation
- Maintain a centralized record of all exams, audits, and reviews
- Screen third party vendors and contractors
- Schedule HW board meetings and team meetings/activities
- Perform quality control reviews as needed
- Identify processes and documentation improvements related to the functions above to reduce firm risk
- Bachelor’s degree or equivalent experience
- While no Compliance experience is required, an interest in this area is important, as it is our hope to retain and grow this individual on the team longer term
- Organized, detail oriented, and diligent with the ability to meet deadlines and execute efficiently
- Strong communication skills, both written and oral, and ability to work well in a team setting
- Self-driven but collaborative approach that builds interpersonal networks and can influence outcomes
- Curious mindset that proactively identifies areas for improvement opportunity and directs resources towards continuous improvement
This description reflects the core activities of the role but is not intended to be all-inclusive and other duties within the group/department may be required, in addition to changes in the emphasis of duties as required from time to time.
Base Salary: $50,000 – $60,000
- Salaries may vary within the range based on geographic location, market data and on individual skills, experience, and education.
- Role is incentive eligible with the payment based upon company, business and/or individual performance.
- Application Window: Generally, this opening is expected to be posted for 48 business hours from 4/13/2026, although longer with business discretion.
Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position.
Preferred Skills
Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives
Competencies
Accuracy and Attention to Detail, Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem Solving, Quality Management
Work Experience
Roles at this level typically require a university / college degree with < 1 year of professional experience and/or successful completion of a formal development program. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
Education
Bachelors
Certifications
No Required Certification(s)
Licenses
No Required License(s)
Benefits
PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives.
In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service.
To learn more about these and other programs, including benefits for full time and part-time employees, visit pncthrive.com.
Disability Accommodations Statement
If an accommodation is required to participate in the application process, please contact us via email at AccommodationRequest@pnc.com. Please include “accommodation request” in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions.
Equal Employment Opportunity (EEO)
PNC provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.
This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.
California Residents
Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices.
Salary : $50,000 - $60,000