Viktoria Palermo, CRCP®, CICCP, CSCP

Viktoria Palermo, CRCP®, CICCP, CSCP

Chief Compliance Officer

At a Glance
Chief Compliance Officer

Responsible for the ongoing development, implementation and oversight of the firm’s compliance program

Over 19 years of industry experience in compliance and supervision

B.S. International Hospitality Management from Ecole Hoteliere de Lausanne, Switzerland

Viktoria Palermo, CRCP®, CICCP, CSCP is 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 19 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 served as Senior Analyst in Advisory Compliance for LPL Financial. Viktoria holds the FINRA Series 24, 7, 51, 4,66 and 63 registrations.

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Viktoria Palermo, CRCP®, CICCP, CSCP – Chief Compliance Officer | Dunham