DirectJobHub
Jobs · Education · New York

Principal, Capital Markets

Access Holdings · New York, NY · 1 mo ago
On-siteEducationFull-time

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.

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

    • 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.

    • Similar jobs