Peter Hawkins
Emea & Us Head of Regulatory Compliance @First Sentier Group
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WORK HISTORY
Emea & Us Head of Regulatory Compliance @First Sentier Group
London, GB
First Sentier Group operates as a standalone global asset management business within MUFG.As Head of Regulatory Compliance for EMEA & US (SMF16 & 17), I lead regulatory strategy and advisory for these regions across a multi‑brand platform stewarding US$140bn AUM (30 Jun 2025) for institutional investors, pension funds, wholesale distributors/platforms, financial advisers and their clients worldwide.Investment capabilities: Australian & global equities; Asia‑Pacific & Global EM; direct & listed infrastructure; fixed income; multi‑asset; systematic equities; listed property; alternative credit/private debt.Brand coverage (EMEA & US):Igneo Infrastructure Partners - global infrastructure across renewables, digital infrastructure, transportation & utilities; ESG embedded.AlbaCore Capital Group - alternative credit/private debt for global institutions; operates under its own dedicated compliance team, aligned to group governance.Stewart Investors - stewardship‑led, sustainable equity strategies in high‑quality companies.FSSA Investment Managers - long‑term, research‑driven APAC & Global EM equities with a responsible investing approach.RQI Investors - systematic equities using quantitative signals & research to capture inefficiencies.Accountabilities (EMEA & US):Oversight of UCITS, AIFMD, MiFID II, SMCR, PRIIPs, MAR; ESG/SFDR; GDPR/DORA; and US frameworks (SEC/’40 Act/Advisers Act, CFTC/NFA), plus cross‑border distribution. Partner with boards, oversight committees & investment leaders to deliver pragmatic, risk‑aware solutions that protect investors and enable growth across public & alternative asset classes. Embed responsible stewardship & ESG in scalable controls that support autonomous specialist teams, strengthening culture, governance & investor protection.Distinct teams. Shared purpose. Focused expertise.
EDUCATION
Coventry University
BA (Hons), Industrial Economics
SKILLS
ABOUT PETER HAWKINS
I’m a trusted adviser to boards, oversight committees, investors, and business leaders, known for shaping culture and elevating standards through authentic partnerships and practical, judgement‑led advice. My experience spans small, mid‑sized, and large managers across pan‑European and global platforms, with a deep grounding in both public markets and alternative investments.I believe the most successful firms master their regulatory environments and partner with modern, forward‑thinking leaders, those who challenge legacy practices, embrace innovation, and cultivate emerging talent. As an authentic leader and coach, I have reorganised, upskilled, and energised compliance teams to deliver timely, pragmatic guidance with a sharp focus on investor protection and commercial outcomes.Asset‑class coverage:Equities · Fixed Income · Multi‑Asset · Money Markets · ETFs · Private Equity · Private Credit/Direct Lending · Real Estate · Infrastructure · Hedge Funds · Real Assets · Secondaries · FoFs · Securitised/Structured Products.Structures & distribution:UCITS · AIFs/AIFMD · SMAs/Advisory · LP/GP structures · 40 Act funds · Cross‑border distribution.Regulatory domains:FCA/ESMA, AIFMD, UCITS, MiFID II, SMCR, PRIIPs, MAR, GDPR, DORA/operational resilience, ESG/SFDR, plus US frameworks (SEC/40 Act, Advisers Act, CFTC/NFA, FINRA). Experienced in governance, conduct & culture, product oversight, financial crime (AML/KYC/sanctions), market abuse surveillance, conflicts of interest, outsourcing oversight, third‑party risk, and regulatory change.What I’m known for:Turning compliance into a strategic enabler - aligning regulatory priorities to business goals and growth plans.Building high‑performing teams - clear operating models, the right controls, and targeted upskilling.Investor‑first outcomes - robust product governance and distribution oversight across public and alternative strategies.Credible engagement at Board level - balanced challenge, clear options, and enterprise‑level risk thinking.
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