Caroline Taylor, CIM®, FCSI®
Partner, Chief Compliance OfficerCaroline Taylor leads Pembroke’s compliance function, overseeing all regulatory, policy, and risk-management frameworks for both Pembroke Private Wealth Management and Pembroke Management. As Chief Compliance Officer, she collaborates closely with our investment, wealth-planning, and operations teams to ensure that sound governance underpins every client experience. Caroline also serves on the Pembroke Management Committee, contributing to firm-wide strategy and culture.
Caroline entered the financial services industry in 2005 at Scotiabank, progressing from administrative roles to Senior Financial Advisor, where she delivered holistic financial-planning advice to families and business owners. Since joining Pembroke in 2015, she has held increasingly senior positions—most recently her 2023 appointment as Chief Compliance Officer—reflecting nearly two decades of hands-on experience in client service, operations, and regulatory leadership.
Outside of work, Caroline is passionate about living an active lifestyle, practicing yoga, exploring new places through travel, and spending time outdoors. Her greatest joy comes from being a devoted mother and spending quality time with her children and her beloved dogs.
Highlights
- Chief Compliance Officer for Pembroke Private Wealth Management and Pembroke Management
- Member of the Management Committee
- Nearly 20 years of experience spanning compliance, operations, and client advisory
- Chartered Investment Manager (CIM®) and Fellow of the Canadian Securities Institute (FCSI)
Previous Experience
- Senior Financial Advisor, Scotiabank (2009–2015): Provided comprehensive financial-planning solutions and managed a significant book of retail and small-business clients.
- Vice President, Branch Operations & Toronto Branch Manager, Pembroke (2015– 2023): Led day-to-day branch operations, staffing, and client-service initiatives before assuming firm-wide compliance leadership.
Education and Professional Designations
- Fellow of the Canadian Securities Institute (FCSI)
- Chartered Investment Manager (CIM®), Canadian Securities Institute
- Bachelor of Arts, Economics, University of Toronto
- Bachelor of Professional Studies, Education (Intermediate/Senior), Niagara University
Leadership and Community
- Member, Association of Canadian Compliance Professionals (ACCP)
- Active mentor to junior professionals within Pembroke’s compliance and operations teams, fostering a culture of continuous learning and ethical stewardship.
