Principal, Capital Markets

Access Holdings•Baltimore, MD

About The Position

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.

Requirements

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.

Nice To Haves

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.

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.