Compliance and Underwriting Director
Diana Rivera leads the Compliance, Underwriting and Service departments at Linda Corujo Retirement Center. Diana began her professional career in the Financial and Securities industry in 1990 and has been working at Linda Corujo Retirement center since 2000.
As Compliance Director at Linda Corujo Retirement Center, she Develops 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. 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 and overseeing the Customer Service Department.
Diana has successfully completed the following qualifications
- FINRA sponsored Series 6 and Series 7
- Life and disability insurance licenses in Puerto Rico
- CPFA designation.
Having experience in multiple areas such as regulatory compliance and risk related to the rules and regulations of the SEC, FINRA and other federal, state and local regulations and laws; makes Diana a problem solver and helps her coworkers and registered representative to perform their task in a fast and correct way.
In her personal life, Diana is the proud mom of Adriana, who follows in her mom’s professional passion for regulations and compliance, and grandmother of Amelia Elizabeth and Jack Alexander. On her free time Diana enjoys cooking for her friends and family, as well as traveling.
Diana Rivera supports the registered associates of Linda Corujo Retirement Center. Investments and advisory services offered through representatives of Lincoln Financial Securities Corp., Member SIPC. Branch Office: 319 Villa Nevarez, Carr 21, San Juan, PR 00927 Lincoln Financial Securities is not affiliated with Linda Corujo Retirement Center. LFS-4892926-080822