chief compliance officer at dunham & associates investment counsel inc @ Dunham
San Diego, California, United States
Viktoria Palermo
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FlashIntel GPTViktoria Palermo is a highly experienced professional with over 20 years of work experience in investments and financial advisory. She is a Registered Principal of Lucia Securities, LLC, a Registered Broker/Dealer Member FINRA/SIPC, and offers securities through Lucia Wealth Services. Viktoria has held various leadership positions, including Chief Compliance Officer and Operations Manager at Lucia Capital Group. She is fluent in English, German, French, Slovenian, and Italian. Viktoria's expertise lies in alternative investments and asset allocation. She is based in the United States.
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About
FINRA Licensed – Series 24, 4, 51, 7, 66 and 63; Fluent in English, German, French, Slovenian and Italian; Viktoria Palermo is an Registered Principal of and offers securities through Lucia Securities, LLC, a Registered Broker/Dealer Member FINRA/SIPC. Advisory services offered through Lucia Wealth Services, a Registered Investment Advisor. Lucia Capital Group is the holding company for Lucia Wealth Services and its affiliated broker/dealer, Lucia Securities, LLC.
Work Experience
chief compliance officer at dunham & associates investment counsel inc
Chief Compliance Officer
Financial Services
Viktoria Palermo's Professional Milestones
- Registration Coordinator (2005-02-01~2007-02-01): Streamlined registration processes, increasing efficiency and reducing time by 20%.
- Senior Analyst Advisory Compliance (2007-03-01~2009-09-01): Developed and implemented compliance strategies to safeguard critical data and ensure regulatory compliance.
Skill
Investments
Financial Advisory
Finra
Alternative Investments
Asset Allocation
Equities
Variable Annuities
Private Equity
Trading
Auditing
Customer Service
Series 24
Regulatory Compliance
Surveillance
Risk Management
Financial Services
Due Dilligence
Investment Advisory
Options
Project Management
Securities Regulation
Analytical Skills
Project Management Skills
Business Process Improvement
Business Process
Microsoft Office
Excel
Management
Organizational Skills
Multitasking
Interpersonal Skills
Training
Regulatory Risk
U.s. Securities And Exchange Commission
Investment Advisers Act
Broker Dealer
U.s. Office Of Foreign Assets Control
Compliance Operations
Wealth Management Services
Regulatory Audit
Compliance Management
Bank Secrecy Act
Aml Bsa
Broker Dealer Compliance
Finra Licenses
Business Operations
Professional Ethics
Security Incident Response
Policies And Procedures
Focus
Governance
Independent Testing
Regulatory Examination
Certification
Colleagues
Ryan Dykmans, CFA
Chief Investment Officer
Eugene Choi CFP®, ChFC®
Regional Director
Viktoria Palermo
chief compliance officer at dunham & associates investment counsel inc
Amy Gallego
director of client services at dunham & associates
Salvatore Capizzi
Chief Sales and Marketing Officer | Executive Vice President
Other Named Viktoria Palermo
Frequently asked questions
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Viktoria Palermo's social media include: Linkedin,
Viktoria Palermo works for Dunham
Viktoria Palermo's role in Dunham is chief compliance officer at dunham & associates investment counsel inc
Viktoria Palermo works in the industry of Financial Services
Viktoria Palermo's colleagues are Ryan Dykmans, CFA,Eugene Choi CFP®, ChFC®,Viktoria Palermo
Viktoria Palermo's latest job experience is chief compliance officer at dunham & associates investment counsel inc at Dunham
