Job Description

Investment Banking Compliance Role

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 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

Job Specific Competencies, Education & Experience:

• 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

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: $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.

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