Wendy Fox

Chief Compliance Officer

Ariel Investments, LLC

Wendy D. Fox Vice President, Chief Compliance Officer Wendy joined Ariel in 2004 as chief compliance officer of Ariel Investments, LLC and its affiliated broker-dealer, Ariel Distributors, LLC. In 2014, she was appointed chief compliance officer for Ariel Investment Trust. She is responsible for regulatory risk oversight and administration of compliance programs covering the investment adviser, broker-dealer and mutual funds. Wendy works closely with senior management, the firm’s external corporate directors and Ariel Investment Trust’s independent trustees, advising on compliance matters and managing regulatory examinations. 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. Beyond Ariel, Wendy is chairman 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.

Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org