Viktoria Palermo, CRCP®, CICCP, CSCP is the Chief Compliance Officer for Dunham & Associates Investment Counsel, Inc. and the Dunham Funds. She also serves as BSA/AML Compliance Officer for Dunham Trust. Viktoria has over 20 years of industry experience.

She has a strong background in compliance, supervision and overall operations of the Broker-Dealer and Investment Adviser. Prior to joining the firm in September 2021, Viktoria served in diverse roles at various firms, including Chief Compliance Officer and AML Officer for Lucia Capital Group (prior to LPL Financial’s acquisition of certain assets of Lucia Securities, LLC). Viktoria was responsible for the ongoing development, implementation and oversight of the compliance and AML programs for the Broker-Dealer and Investment Adviser

Prior to Lucia Capital Group, Viktoria served as Associate Vice President–AVP Supervision, West Coast Region for First Allied Securities, providing supervisory oversight of the daily sales activities of Registered Representatives. Earlier in her career she served as Senior Analyst in Advisory Compliance for LPL Financial. Viktoria earned the Certified Regulatory and Compliance Professional (CRCP)® designation from the FINRA Institute at Georgetown University, and the Certified Investment Company Compliance Professional (CICCP) and Certified Securities Compliance Professional (CSCP) designations from the National Society of Compliance Professionals (NSCP), in partnership with the University of St. Thomas School of Law. Viktoria holds the FINRA SIE, Series 24, 7, 51, 4, 66 and 63 registrations.