Principal, Capital Markets

NYC2w ago

Seniority: Staff

About the role

<div class="content-intro">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 <a href="http://www.accessholdings.com">www.accessholdings.com</a>.</div>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  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="1" data-aria-level="1">Partner closely with the Head of the Broker-Dealer to shape and execute AHCM's strategy, operating model, and market positioning </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="2" data-aria-level="1">Drive the buildout of platform infrastructure, team, and culture as AHCM moves from registration through early growth </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="3" data-aria-level="1">Own and drive decisions around service design, commercial prioritization, and platform development </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="4" data-aria-level="1">Establish and grow AHCM’s presence and reputation within the lower-middle market ecosystem </li> </ul> Lead M&A Advisory and Capital Markets Execution  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="5" data-aria-level="1">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 </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="6" data-aria-level="1">Own capital markets execution including debt and equity capital raising for portfolio companies and third-party clients </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="7" data-aria-level="1">Build and own transaction execution playbooks and engagement models as the platform matures </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="8" data-aria-level="1">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 </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="9" data-aria-level="1">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 </li> </ul> Grow the Commercial Platform  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="10" data-aria-level="1">Identify, develop, and own third-party client opportunities and service offerings </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="11" data-aria-level="1">Define and execute AHCM’s go-to-market approach, engagement frameworks, and fee structures </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="12" data-aria-level="1">Partner with the Access Acceleration Center (A2C) and portfolio company leadership to originate and execute transactions </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="13" data-aria-level="1">Drive external business development and build AHCM’s brand in the market </li> </ul> Drive Shared Commercial Outcomes  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="14" data-aria-level="1">Originate and execute transactions in partnership with AHCM and Access leadership, contributing meaningfully to platform revenue </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="15" data-aria-level="1">Maintain an active pipeline and bring disciplined commercial rigor to deal sourcing, structuring, and closing </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="16" data-aria-level="1">Identify opportunities to expand AHCM's reach and client base over time </li> </ul> QUALIFICATIONS  Required  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="17" data-aria-level="1">Active FINRA Series 24 (General Securities Principal) license, in good standing, with no pending disciplinary matters, held at time of application </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="18" data-aria-level="1">Active FINRA Series 79 (Investment Banking Representative) and Series 7 (General Securities Representative) licenses, in good standing, held at time of application </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="19" data-aria-level="1">10+ years of experience in investment banking, broker-dealer operations, private equity advisory, or a related field </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="20" data-aria-level="1">Demonstrated experience building or leading a registered broker-dealer, investment bank, or similar regulated financial services business </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="21" data-aria-level="1">Deep knowledge of FINRA rules, SEC regulations, and broker-dealer compliance requirements  </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="22" data-aria-level="1">Track record of executing M&A advisory mandates and/or capital raising transactions in the middle or lower-middle market </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="23" data-aria-level="1">Proven ability to manage a P&L and build a team from an early stage </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="24" data-aria-level="1">Formal credit underwriting training and/or loan structuring experience at a leading market participant </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="25" data-aria-level="1">Proficiency in creditors’ rights and loan documentation </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="26" data-aria-level="1">Robust, established relationships with leading middle market banks and private credit firms active in leveraged finance and unitranche transactions </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="27" data-aria-level="1">Demonstrated experience structuring buy-and-build financing transactions, including management of substantial pro forma quality of earnings adjustments </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="28" data-aria-level="1">Strong commercial instincts with the ability to originate, develop, and close client relationships </li> </ul> Preferred  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="29" data-aria-level="1">Experience in the lower-middle market or private equity ecosystem </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="30" data-aria-level="1">Prior roles as a registered principal (Series 24 principal capacity) </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="31" data-aria-level="1">Experience launching or scaling a new BD platform or boutique advisory firm </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="32" data-aria-level="1">Existing relationships with lenders, institutional investors, family offices, or other capital markets participants </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="33" data-aria-level="1">Exposure to data-driven and technology-enabled transaction workflows </li> </ul> 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.  <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="34" data-aria-level="1">Entrepreneurial and visionary — translates bold ideas into structured plans and executes with discipline and urgency </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="35" data-aria-level="1">Commercial and client-focused — naturally draws and retains client relationships through trust and execution quality </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="36" data-aria-level="1">Candidates must embrace Access Holdings' Core Values: </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="37" data-aria-level="1">We Execute with Urgency.  We get it done—today, not tomorrow. We move decisively, prioritize what matters, and follow through without delay. </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="38" data-aria-level="1">We Own the Outcome.  We are radically accountable for results. No excuses. We take responsibility, solve problems, and deliver. </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="39" data-aria-level="1">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. </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="40" data-aria-level="1">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. </li> </ul> <ul> <li data-leveltext="" data-font="Symbol" data-listid="1" data-list-defn-props="{"335552541":1,"335559685":360,"335559991":360,"469769226":"Symbol","469769242":[8226],"469777803":"left","469777804":"","469777815":"singleLevel"}" data-aria-posinset="41" data-aria-level="1">We Build Market-Leading Businesses.  We think and act like owners. We create enduring value by building businesses that lead, outperform, and win. </li> </ul>

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