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Executive General Securities Principal Jobs (NOW HIRING)

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Manage, supervise and have executive oversight of the office. * Build and nurture long-term client ... Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital ...

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Manage, supervise and have executive oversight of the office. * Build and nurture long-term client ... Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital ...

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Manage, supervise and have executive oversight of the office. * Build and nurture long-term client ... Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital ...

HITRUST Service Corp.

AI Security Principal

Frisco, TX · On-site

... executive leaders, regulators, practitioners, and customers. The successful candidate will be recognized as a credible authority in AI security or cybersecurity and comfortable engaging with ...

Frost Bank

Wealth Sales Coach

Postoak, TX

Must maintain active FINRA registrations, including Series 7, Series 63, Series 24 (General Securities Principal), and either Series 65 or Series 66; candidates not currently holding the Series 24 ...

Frost Bank

Wealth Sales Coach

Houston, TX · On-site

Must maintain active FINRA registrations, including Series 7, Series 63, Series 24 (General Securities Principal), and either Series 65 or Series 66; candidates not currently holding the Series 24 ...

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How much do executive general securities principal jobs pay per year?

As of Aug 20, 2026, the average yearly pay for executive general securities principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

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Executive General Securities Principal jobs near you
Infographic showing various Executive General Securities Principal job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 14% Part Time, and 2% Contract. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Principal, Capital Markets

Access Holdings

New York, NY • On-site

Full-time

Re-posted 20 days ago

Job description

Access Holdings is a next-generation alternative asset manager providing investors with access to the lower-middle market. Founded in 2013, Access Holdings has approximately $2.3 billion in assets under management. The firm implements its systematic research and data-driven operating model - The Access Edge - to partner with lower-middle market businesses in industries essential to economic growth and resilience. For more information, please visit www.accessholdings.com.
POSITION OVERVIEW
Access Holdings is building Access Holdings Capital Markets (AHCM), a new registered broker-dealer anticipated to receive FINRA approval in July 2026. AHCM will serve as a fully integrated capital markets platform supporting the firm's lower-middle market strategy, including M&A advisory and capital raising, while also expanding to serve third-party clients over time.
Access Holdings is seeking a Principal for Access Holdings Capital Markets (AHCM), an entrepreneurial, licensed securities professional (Series 24 and Series 79) who will partner with the Head of the Broker-Dealer to build and scale AHCM, while operating with the independence and authority to own initiatives, drive outcomes, and lead the platform as it matures. This is a rare opportunity to help build an institutional-quality broker-dealer from the ground up within a well-capitalized, growth-stage alternative asset manager. The right candidate combines deep broker-dealer operational and compliance expertise with credit capital markets fluency, a commercial mindset, and the entrepreneurial drive to build something enduring. The Principal reports to Chris Blackwell, Partner and Head of AHCM.
In addition to broker-dealer leadership responsibilities, the Principal will lead the Access Holdings Credit Capital Markets team, organizing and leading all third-party financing efforts for new platform formation as well as portfolio company add-on financing initiatives.
KEY RESPONSIBILITIES
Develop the Broker-Dealer Platform
  • Partner closely with the Head of the Broker-Dealer to shape and execute AHCM's strategy, operating model, and market positioning
  • Drive the buildout of platform infrastructure, team, and culture as AHCM moves from registration through early growth
  • Own and drive decisions around service design, commercial prioritization, and platform development
  • Establish and grow AHCM's presence and reputation within the lower-middle market ecosystem

Lead M&A Advisory and Capital Markets Execution
  • Partner with the Head of the Broker-Dealer and Access deal teams to originate and lead buy-side and sell-side M&A advisory mandates
  • Own capital markets execution including debt and equity capital raising for portfolio companies and third-party clients
  • Build and own transaction execution playbooks and engagement models as the platform matures
  • Lead private debt financing processes across the capital structure, including cash flow modeling, risk scenario analysis, and preparation of underwriting memorandums for internal investment committee review
  • Cultivate and own relationships with leading middle market banks and private credit firms active in leveraged finance and unitranche transactions; develop go-to-market lender materials and lead all third-party debt financing engagement for portfolio companies and third-party clients

Grow the Commercial Platform
  • Identify, develop, and own third-party client opportunities and service offerings
  • Define and execute AHCM's go-to-market approach, engagement frameworks, and fee structures
  • Partner with the Access Acceleration Center (A2C) and portfolio company leadership to originate and execute transactions
  • Drive external business development and build AHCM's brand in the market

Drive Shared Commercial Outcomes
  • Originate and execute transactions in partnership with AHCM and Access leadership, contributing meaningfully to platform revenue
  • Maintain an active pipeline and bring disciplined commercial rigor to deal sourcing, structuring, and closing
  • Identify opportunities to expand AHCM's reach and client base over time

QUALIFICATIONS
Required
  • Active FINRA Series 24 (General Securities Principal) license, in good standing, with no pending disciplinary matters, held at time of application
  • Active FINRA Series 79 (Investment Banking Representative) and Series 7 (General Securities Representative) licenses, in good standing, held at time of application
  • 10+ years of experience in investment banking, broker-dealer operations, private equity advisory, or a related field
  • Demonstrated experience building or leading a registered broker-dealer, investment bank, or similar regulated financial services business
  • Deep knowledge of FINRA rules, SEC regulations, and broker-dealer compliance requirements
  • Track record of executing M&A advisory mandates and/or capital raising transactions in the middle or lower-middle market
  • Proven ability to manage a P&L and build a team from an early stage
  • Formal credit underwriting training and/or loan structuring experience at a leading market participant
  • Proficiency in creditors' rights and loan documentation
  • Robust, established relationships with leading middle market banks and private credit firms active in leveraged finance and unitranche transactions
  • Demonstrated experience structuring buy-and-build financing transactions, including management of substantial pro forma quality of earnings adjustments
  • Strong commercial instincts with the ability to originate, develop, and close client relationships

Preferred
  • Experience in the lower-middle market or private equity ecosystem
  • Prior roles as a registered principal (Series 24 principal capacity)
  • Experience launching or scaling a new BD platform or boutique advisory firm
  • Existing relationships with lenders, institutional investors, family offices, or other capital markets participants
  • Exposure to data-driven and technology-enabled transaction workflows

PERSONAL ATTRIBUTES
The ideal candidate is an entrepreneurial, high-integrity professional who combines institutional discipline with a founder's drive. They are comfortable operating in a high-performance culture, accountable for outcomes, and energized by building something from scratch.
  • Entrepreneurial and visionary - translates bold ideas into structured plans and executes with discipline and urgency
  • Commercial and client-focused - naturally draws and retains client relationships through trust and execution quality
  • Candidates must embrace Access Holdings' Core Values:
  • We Execute with Urgency. We get it done-today, not tomorrow. We move decisively, prioritize what matters, and follow through without delay.
  • We Own the Outcome. We are radically accountable for results. No excuses. We take responsibility, solve problems, and deliver.
  • We are Driven by Process and Performance. We operate with discipline and rigor. Strong processes enable consistent, high-level performance, and we continuously improve both.
  • We Win through Excellence. Excellence isn't a one-time event; it's the way we do everything, every day. We hold ourselves and each other to a higher bar, and that is what sets us apart.
  • We Build Market-Leading Businesses. We think and act like owners. We create enduring value by building businesses that lead, outperform, and win.

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