Wendy has served as Chief Compliance Officer (CCO) for Ariel Investments, LLC (“the firm”) and Ariel Distributors, LLC since October 2004, and as CCO for Ariel Investment Trust since January 2014. She also currently serves as the firm’s Head Regulatory Counsel.
Wendy manages Ariel’s regulatory risk oversight as well as its investment advisory and broker-dealer compliance efforts and practices. She works closely with all areas of the firm to assist in the enhancement of each department’s compliance procedures in addition to the firm’s interdepartmental procedures.
Prior to Ariel, Wendy spent 16 years working for the U.S. Securities and Exchange Commission’s regional office in Chicago, where she was attorney-adviser for the Branch of Investment Management Examinations, ethics liaison officer and senior attorney for the Division of Enforcement. Outside of the firm, Wendy sits on the board of directors of The ARK, a nonprofit organization providing free social and medical services to members of Chicago’s Jewish community. Wendy earned a BA in English literature from the University of Michigan and a JD from Washington University in St. Louis.