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Management General

Chatham, New Jersey, United States
October 16, 2016

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Ed Holmes

** ******* **** *******, *** Jersey ***28

C 973-***-**** H 973-***-****


A forward-thinking and results-driven General Counsel with proven expertise in complex investment and commercial transactions, global regulatory and compliance matters, corporate governance, litigation, new business ventures, business rationalizations, and mergers and acquisitions. Establishes strong relationships of trust at all organizational levels. Prompts employee engagement through teamwork, education, and active industry involvement. A motivated top performer who leverages a collaborative approach, excellent communication, and experience-based judgment to achieve results while minimizing risks.



Co-Founder and Co-Managing Principal, 2016

A start up investment advisory and broker dealer compliance consulting firm. Offers a full range of compliance services to start up and small to mid-sized financial service companies, from full service compliance programs to discrete services as needed.


Senior Managing Director and General Counsel, AIG Investments and Financial Services Division, 2009-2015

Oversaw 35 attorneys located in offices across U.S. and Europe. Supported full range of investment and capital markets transactions, including public and private bonds, structured credit, commercial and residential mortgage loans, derivatives, alternative investments, and real estate joint ventures.

Developed infrastructure and processes to facilitate Federal Reserve regulation, including corporate governance function, risk based policies and procedures, legal entity reporting, and committee composition and processes. Oversaw legal aspects of centralization of investment and treasury functions globally. Led the sale of mutual fund complexes in India. Collaborated with M&A group in connection with other significant asset sales, including ALICO and AIA. Executed in excess of $15,000,000,000 in structured transactions designed to enhance investment yield, risk-based capital, and tax benefits in compliance with Volcker Rule.

Oversaw compliance function headed by divisional chief compliance officer. Oversaw litigation matters, including significant employment matters and securities law cases. Developed strategy relating to departmental functional support model. Managed significant legal budget.

Served as key member of senior management, collaborating on strategy and risk mitigation.

Consolidated investments and financial services divisions, rationalizing businesses and staffing requirements, selling assets, winding down businesses, and consolidating ongoing businesses into existing strategies.

Managing Director and Deputy General Counsel, Head of Legal, AIG Investments, 2006-2008

Oversaw 50 attorneys located in seven offices worldwide. Managed $700,000,000,000 in assets, global third-party asset management business, investment adviser licenses in five countries, broker-dealer, and Swiss private bank. Provided legal advice relating to all forms of investment transactions, regulatory matters, marketing and distribution issues, compliance issues, and registration of funds outside of the U.S. for retail distribution.

Assumed lead legal role representing company in connection with securities lending matters beginning in August 2007, including management and wind down of $80,000,000,000 business and $23,000,000,000 Maiden Lane II securitization with Federal Reserve Bank of New York.

Managed legal and compliance aspects of the sale of AIG’s third-party asset management business.

Managing Director and Associate General Counsel - Head of Legal, Fixed Income, AIG Investments, Houston, Texas, 2003-2006. Served as lead attorney responsible for company’s $400,000,000,000 global fixed income portfolio. Managed team of ten attorneys in multiple offices. Restructured legal department, focusing attorneys’ time based on risk profile of transactions. Concentrated on areas of privately placed loans, project finance, and public high-yield bonds.

Vice President and Associate General Counsel, AIG Investments and American General Investments, 2000-2003. Provided legal support for fixed income investment transactions. Concentrated on areas of privately placed loans, project finance, and structured leases.

Additional Experience

BAKER BOTTS, LLP, Associate, Houston, Texas, 1994-2000. Practiced in corporate section with concentration in fixed income transactions, partnership and joint venture agreements, and bank and securities regulations.

FIRST GIBRALTAR BANK, FSB, Internal Auditor, Dallas, Texas, 1990-1991.


UNIVERSITY OF HOUSTON SCHOOL OF LAW, Houston, Texas, J.D., cum laude, 1994

TEXAS A&M UNIVERSITY, College Station, Texas, B.B.A., Accounting, 1990


New York Bar, 2008 Texas Bar, 1994 Texas CPA, 1994


American College of Investment Counsel – Board of Trustees and Treasurer

Speaking Engagements

Workplace Diversity Forum, Chambers, Panel Discussions: Re-envisioning Diversity, Practical Solutions: Uncovering Unconscious Bias, How to Foster Diverse Leaders and Inclusiveness, 2015

Global Corporate Counsel Forum, Legal Week, The Eye of the General Counsel: Working Strategically, Thinking Globally, Panel Discussion: Is the Regulatory Environment Affecting Innovation, 2014

General Counsel Forum, New York Legal Marketing Association, Panel Discussion: General Counsel Insomnia Producers, 2014

American College of Investment Counsel, Fall Forum, Panel Discussion: A View from the Top: Effective Use of Legal Resources, 2007

American College of Investment Counsel, Spring Forum, Panel Discussion: Conflict Issues Relating to Joint Representation, 2006

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