Priyanka Sharma

Licensed Investment Representative

TD Direct Investing

London, ON

10.2021 - Current

Process and verify client account transfer documentation from delivering brokerage firms to TD with 100% accuracy, addressing deficiencies in Power of Attorney/Trading Authority setup documents, new account opening documents, and internal transfers from FP and PIC.
Identify and correct deficiencies using Kofax and other TD internal systems, ensuring documentation meets all compliance and operational standards.
Notify non-resident clients about investment product restrictions after reviewing system warnings and regulatory notes, ensuring compliance with firm and CIRO guidelines. Non-resident tax percentage validation, potential wash trade.
Support registered plan withdrawals (RSP, RIF, TFSA) with efficient documentation review and processing, reducing turnaround time by 15% compared to the team average.
Manage and deepen client relationships, promoting TD products and services aligned with individual risk tolerance, and consistently exceeded service goals by 10–15%.
Maintain up-to-date knowledge of CIRO regulations and internal trading rules, contributing to a zero compliance breach record.
Serve as a go-to team resource, with colleagues regularly seeking my guidance on complex documentation processes, compliance checks, and client solutions.
Demonstrate integrity and professionalism in all client and colleague interactions, achieving a 95%+ client satisfaction rating in post-interaction surveys.
Achieved a 100% compliance record during internal documentation audits over four years.
Recognized for deep expertise in CIRO transfer processes and client onboarding.
Exceeded quarterly targets by driving new business growth, successfully transferring high-value investment accounts from other institutions, increasing client account consolidation, and maintaining top FCR scores through proactive, relationship-focused service.

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