Simon Osborne

Experience

• 

  Pimco Europe Ltd

  Jun 2002 - Mar 2006

  Analyst, Legal & Compliance

  Researched and set up security master for fixed-income and derivative security typesPerformed pre-trade review of client guidelines for all trades in London officeAssisted Middle Office with client specific trade notifications and responded to ad-hoc trade compliance requests from Portfolio Managers

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  Pacific Investment Management Company

  Mar 2006 - Jan 2010

  Responsible for team of over 20 pre-trade compliance analysts monitoring firm, client, and regulatory guidelines for all portfolio management activity (averaging 8,500 client trades/day), providing support to global offices when necessaryInvestments covered included investment grade, high yield and emerging markets fixed income instruments, asset-backed securities, money market instruments (C.P., T-Bills, Repos), forwards and TBAs, FX and currency hedging, illiquid assets and an array of exchange-traded and OTC derivativesCreated departmental rotational program to cross-train and retain staffDeveloped documentation for compliance standards used as an educational tool across the firm and to create consistency in interpretation and application of client guidelines Show less Manager and lead analyst for pre-trade compliance team for all London trade activity (team of 2 compliance analysts)Investments covered include government, corporate and high yield bonds, derivatives, foreign exchange and bank loansManaged Middle Office team responsible for all portfolio management activity in London (averaging 1,000 client trades/day)Responsible for trade affirmation and trade flow issue resolution (team of 2 trade support associates)Established Middle Office function for PEL in the head offices of PIMCO’s parent company in Germany as part of efforts to facilitate pan-European portfolio management capabilities Show less

  • Senior Vice President, Legal & Compliance

    Mar 2009 - Jan 2010

  • Vice President, Legal & Compliance

    Jul 2006 - Mar 2009

  • Vice President, Legal & Compliance

    Mar 2006 - Jun 2006
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  Nuveen Investments

  Feb 2010 - Nov 2014

  Senior Vice President - Legal & Compliance

  In this role, my team supported three Nuveen Affiliated Registered Investment Advisers: NWQ Investment Management Company, Santa Barbara Asset Management and Tradewinds Global Investors. My primary responsibilities included:Responsibility for the testing of Portfolio Management and Trading activities as part of 206(4)-7 compliance program under the Investment Advisers Act of 1940 for 3 registered investment advisers (team of 2 compliance analysts)Acting as day-to-day compliance liaison for Portfolio Managers, Trading, and OperationsWorking with Legal to assist with client and firm compliance-related matters for North American, European, and Asian institutional registered mutual fund vehicles and separate accountsRepresenting Nuveen UCITS platform activity for Los Angeles affiliatesPreparing for and supporting the CCOs of each Los Angeles affiliate for all regulatory visitsIn conjunction with each CCO, developing, maintaining and enhancing a tailored and locally managed compliance testing program for the 3 registered investment advisersManaging portfolio compliance team supporting 3 registered investment advisers, with responsibilities including: client guideline negotiation, interpretation and coding in Charles River Investment Management System (CRIMS), pre- and post-trade monitoring, reporting and resolution (team of 2 compliance analysts). Investments covered include global equities, fixed income, preferred securities; and derivativesLeading the migration for compliance to new instance of CRIMS and supporting the upgrade from version 8 to 9Addressing major risk areas in portfolio compliance including manual guidelines: illiquid exposures, solving for undetected compliance exceptions caused by open orders and overhaul of monitoring of SRI guidelines Show less

• 

  Woodford Investment Management

  Nov 2014 - Jul 2017

  Head of Compliance

  As Head of Compliance at Woodford, I am responsible for overseeing the corporate compliance program, functioning as an independent and objective body that reviews and evaluates compliance issues and concerns within the firm. My role exists to ensure that the partners, Chief Executive Officer, management team and employees of Woodford act in compliance with the rules of regulatory agencies and with the requirements and expectations of our clients, that company policies and procedures are being followed and that behaviour in the firm meets the company’s code of conduct. I am also Woodford’s Money Laundering Reporting Officer.My specific duties include:Development and maintenance of compliance policies, procedures, systems and controls in support of the firm’s compliance monitoring program and to meet the regulatory, risk management and governance standardsDevelopment and maintenance of the compliance monitoring programEnsuring all filings required by the regulator are filed in a timely fashionReviewing all new business initiatives, assessing their regulatory impact and implicationsAdvising the business on all relevant regulatory and compliance matters and providing guidance to management and employees on standards of conduct in the firm’s business activitiesMaintaining a thorough understanding of any regulatory developments relevant to the businessPreparing and reviewing legal documents with customers or counterparties from a compliance perspectiveCollaborating with other departments to direct compliance issues to appropriate existing channels for investigation and resolutionResponsibility for legal function, with General Counsel as a direct reportConsulting with external legal counsel as needed to resolve complex legal and compliance issuesActing as an independent review and evaluation body to ensure that compliance Issues within the organisation are being appropriately evaluated, investigated and resolvedLeadership and management of compliance team Show less

• 

  Affiliated Managers Group

  Aug 2017 - Oct 2024

  • Vice President, Global Compliance

    Mar 2019 - Oct 2024

  • Director of Compliance

    Aug 2017 - Feb 2019
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  NEUBERGER BERMAN EUROPE LIMITED

  Oct 2024 - now

  Chief Compliance Officer EMEA & LatAm, Neuberger Berman Europe Ltd