Compliance and Underwriting Director
Diana Rivera’s professional career in the Financial and Securities Industry began in 1990. She currently leads the Compliance, Underwriting and Service Departments. Diana has a vast experience in multiple areas of regulatory compliance and risks related to the rules and regulations of the SEC, FINRA, and other federal, state and local regulations and laws. As Compliance Director at Linda Corujo Retirement Center, she has developed and ensures that applicable policies and procedures, including written supervisory procedures and manuals, are comprehensive, robust, current, and reflect the firm’s business practices and processes.
Her knowledge in the industry makes Diana a problem solver and helps her coworkers and registered representative to perform their task in a fast and correct way.
Furthermore leads the Underwriting Department. As Underwriter, she’s in charge of completing the requirements of the underwriting process for life insurance, fixed and indexed products and the securities businesses. She is also responsible for the implementation of the Imaging and CRM Program at Linda Corujo Retirement Center. Diana also oversees the Customer Service Department. Diana joined Linda Corujo Retirement Center in 2000. She has successfully completed FINRA sponsored Series 6 and Series 7. In addition, she has life and disability insurance licenses in Puerto Rico. Diana has a bachelor's degree in Accounting.
DIANA RESIDES IN SAN JUAN AND IS THE PROUD MOM OF ADRIANA, WHO FOLLOWS HER MOM’S PROFESSIONAL PASSION FOR REGULATIONS AND COMPLIANCE. DIANA ENJOYS COOKING FOR HER FRIENDS AND FAMILY. SHE LOVES TO TRAVEL AND VISIT HER DAUGHTER ADRIANA AND GRAND KIDS AMELIA ELIZABETH AND JACK ALEXANDER.