ZipRecruiter

Log In

1

General Securities Principal Jobs (NOW HIRING)

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital assets space is a plus. * Proven capabilities in building strong relationships with clients and has ...

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital assets space is a plus. * Proven capabilities in building strong relationships with clients and has ...

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital assets space is a plus. * Proven capabilities in building strong relationships with clients and has ...

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 ...

The Atlantic District

General Agency Principal

Bangor, ME · On-site

$220K - $250K/yr

Being the General Agency Principal here means more than just managing numbers; it means becoming a ... security of our neighbors. We believe in building a team that feels more like a family, where ...

next page

Showing results 1-20

All JobsGeneral Securities Principal Jobs

General Securities Principal information

See salary details

$36.5K

$109.4K

$182K

How much do general securities principal jobs pay per year?

As of Aug 11, 2026, the average yearly pay for 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.

What skills and qualifications are needed to thrive as a general securities principal?

To thrive as a General Securities Principal, you need a deep understanding of securities regulations, supervisory procedures, and compliance oversight, usually demonstrated by holding FINRA Series 24 or equivalent licenses. Proficiency with electronic compliance monitoring platforms, trade surveillance systems, and regulatory filing tools is important. Strong leadership, decision-making abilities, and effective communication skills help set standout professionals apart in this role. These competencies ensure the firm meets regulatory requirements, mitigates risk, and maintains operational integrity in a fast-paced financial environment.

What are common challenges faced by general securities principals, and how are they addressed?

General Securities Principals often navigate challenges such as staying current with evolving regulatory requirements, managing multiple supervisory responsibilities, and overseeing compliance across diverse business lines. To address these, firms typically provide ongoing regulatory training, robust compliance technology, and support from dedicated compliance and legal teams. Collaborating closely with registered representatives, compliance staff, and senior management is essential to resolve issues efficiently. Successful Principals proactively communicate updates, maintain meticulous documentation, and foster a culture of compliance within their teams. This collaborative and informed approach helps mitigate risks and contributes to the overall success of the financial institution.

What is a general securities principal?

A General Securities Principal supervises and manages the activities of registered representatives in a brokerage or investment firm. They ensure compliance with securities laws, firm policies, and industry regulations set by FINRA and the SEC. Their responsibilities include approving new accounts, overseeing trades, and managing sales practices. To become a General Securities Principal, individuals must typically pass the FINRA Series 24 exam and meet other licensing requirements.

More about General Securities Principal jobs
What cities are hiring for General Securities Principal jobs? Cities with the most General Securities Principal job openings:
What are the most commonly searched types of General Securities Principal jobs? The most popular types of General Securities Principal jobs are:
What states have the most General Securities Principal jobs? States with the most job openings for General Securities Principal jobs include:
What job categories do people searching General Securities Principal jobs look for? The top searched job categories for General Securities Principal jobs are:
General Securities Principal jobs near you
Infographic showing various General Securities Principal job openings in the United States as of August 2026, with employment types broken down into 59% Full Time, and 41% Part Time. Highlights an 100% In-person 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 12 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.

Apply