Principal, Capital Markets
On-site · Baltimore, Maryland, United States
Job Summary
Access Holdings is building a new registered broker-dealer AHCM and is seeking a Principal to partner with the Head of the Broker-Dealer to lead platform development, drive M&A advisory and capital markets execution, manage third-party financing efforts for new platform formation and portfolio company financings, cultivate relationships with banks and private credit firms, and shape AHCM’s go-to-market strategy. The ideal candidate will have senior broker-dealer leadership experience, Series 24/79/7 licenses in good standing, deep FINRA/SEC knowledge, a strong track record in M&A advisory and capital raising in the middle to lower-middle market, P&L management experience, formal credit underwriting or loan structuring expertise, and established industry relationships to originate and execute debt and equity transactions while building and scaling a new platform.
Required Qualifications
- Active FINRA Series 24 (General Securities Principal) license, in good standing
- Active FINRA Series 79 (Investment Banking Representative) license, in good standing
- Active FINRA Series 7 (General Securities Representative) license, in good standing
- 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
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