Trainee General Securities Principal Jobs (NOW HIRING)

Principal, Capital Markets

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.

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 donetoday, 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.