Compliance Coordinator

Harris Williams • Richmond, VA

5d • $50,000 - $60,000

About The Position

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.

Requirements

• 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.

Nice To Haves

• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives

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

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 251-500 employees