Michele Hawkins is managing director and chief compliance officer for Fort Washington Investment Advisors, Inc., which she joined in 2000, and its subsidiary, Peppertree Partners, LLC. Fort Washington is headquartered in Cincinnati, Ohio, with $56.3 billion in assets under management (as of December 31, 2017). Ms. Hawkins is responsible for all aspects of the firm’s compliance program: training, compliance monitoring, establishment of policies and procedures, auditing, due diligence, compliance risk management activities and all regulatory related initiatives.
Ms. Hawkins has more than 38 years of experience in the securities and financial services industry. Her duties have included trading, compliance, and operational oversight for investment advisors, mutual funds, and broker-dealers. Prior to joining Fort Washington, she worked for Countrywide Financial Services, Inc., Leshner Financial Services, Inc., EF Hutton, and Paine Webber. She earned a Bachelor of Science degree in Business Management and has received the designation of Certified Regulatory Compliance Professional (CRCP) from FINRA/Wharton School of Business, as well as the NRS Investment Adviser Certified Compliance Professional (IACCP) designation. Ms. Hawkins also serves on the Advisory Board for Xavier University Cintas Institute for Business Ethics and Social Responsibility, and as former chairperson of the Herbert R. Brown Society, former board member and chair of the audit committee for Bright New Leaders for Ohio Schools, and is a member of the National Society of Compliance Professionals (NSCP). Additionally, Ms. Hawkins was named as a 2015 YWCA Career Woman of Achievement.