Position Overview

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: . MEMBER FINRA/SIPC.

Core Competencies:

This position is responsible for the execution of activities in support of the firms 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

Job Specific Competencies Education & Experience:

• Bachelors 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

To be considered you must be able to work in the U.S. without sponsorship.

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: $50000 $60000

• 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.

Qualifications

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

Competencies

Work Experience

Education

Certifications

Licenses

Benefits

To learn more about these and other programs including benefits for full time and part-time employees visit.

Disability Accommodations Statement

If an accommodation is required to participate in the application process please contact us via email at . 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 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

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