TD Securities
Richa Sharma is an experienced compliance professional with a background in risk and compliance roles across various financial institutions. Currently serving as a Senior Compliance Officer at TD Securities since October 2023, Richa has previously held positions such as Compliance Officer at MarketAxess and Mirabaud Group. Richa started in the compliance sector at Canada Life Investments, focusing on business unit risk and compliance, and has also worked as a Risk and Compliance Analyst at Newton Investment Management. Earlier legal internships at Shoosmiths and Marriott Harrison LLP, along with experience as a Legal Assistant at CircleHealth, provided a solid foundation in legal matters. Richa holds a Bachelor’s Degree with Honours in Law from the University of Kent, completed in 2015.
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TD Securities
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As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our corporate, government, and institutional clients choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As an integrated team, we work to deliver value for our clients every day. For relevant legal disclaimers, visit tdsecurities.com/ca/en/legal.