Diana Rivera leads the Compliance, Underwriting, and Service departments at Corujo Advisory Group. She began her professional career in the financial and securities industry in 1990 and has been an integral part of Corujo Advisory Group since 2000.
As Compliance Director, Diana develops and maintains comprehensive, up-to-date written supervisory procedures and firm policies that align with Corujo Advisory Group’s business practices and regulatory requirements. In her underwriting role, she oversees the full underwriting process for life insurance, fixed and indexed products, and securities-related business.
Diana directs the firm’s Imaging and CRM Program and manages the Customer Service Department, ensuring an efficient and client-focused experience.
She also ensures that everyone who joins the firm meets the requirements required by the industry.
She has successfully completed the following qualifications:
Series 6 and Series 7
Life and Disability Insurance Licenses (Puerto Rico)
Certified Plan Fiduciary Advisor (CPFA®)
Her extensive experience in regulatory compliance and risk management—covering SEC, FINRA, and other federal, state, and local regulations—allows her to serve as a trusted resource and problem solver for colleagues and registered representatives, helping them complete their responsibilities accurately and efficiently.
Outside of work, Diana is the proud mother of Adriana, who shares her passion for compliance, and the loving grandmother of Amelia Elizabeth and Jack Alexander. In her free time, she enjoys cooking for friends and family and traveling.