Loreto Fuentes

Loreto Fuentes has a strong background in compliance, with extensive experience in various financial companies. Currently, Fuentes works as a Vice President of Compliance at Tradeweb starting in May 2022. Prior to that, Fuentes held the position of Compliance Officer at Herbert J. Sims Co., Inc. from January 2020 to April 2022. Fuentes also worked as a Compliance Specialist at People's Securities Inc. from February 2019 to January 2020. Notably, Fuentes served as the Chief Compliance Officer at Carrington Capital Management from February 2013 to March 2018, where they managed compliance programs, developed and updated compliance manuals, and oversaw code of ethics policies. Earlier in their career, Fuentes worked as a Compliance Officer at AIG, CRT Capital Group, Credit Suisse, and Bridgewater Associates, gaining experience in various aspects of compliance including branch examinations, desk reviews, and marketing material reviews. Fuentes began their career as a Field Supervisor and Investigator in the Enforcement department of the Financial Industry Regulatory Authority (FINRA) before transitioning to NYL as Director of Market Surveillance.

Loreto Fuentes holds a Bachelor's degree in Chemistry and Biochemistry from Western Connecticut State University. They also have an MBA with a focus on Finance from The George Washington University School of Business. In 2019, Loreto obtained certifications for FINRA Series 24 License and FINRA Series 7 License from FINRA.