Career
Kar On Karen Au has been Chief Compliance Officer of Wellington Management Japan Pte. since March 2019. Kar On Karen Au is not listed as a control person, but directly owns under 5% of the firm.
Wellington Management Japan Pte. LTD. is a Tokyo, Japan firm with $17.7B under management, 49 clients and 9 advisers in one office, as of its March 2026 filing.
Wellington’s Singapore Environmental Risk Report for 2023 identified Karen Au as Chair of Wellington Management Singapore and Chief Compliance Officer.
The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.
Credentials and registrations
Individual registration and examination information for Kar On Karen Au is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.
Officer record
- Full name
- Kar On Karen Au
- CRD
- 6114600
- Record basis
- Form ADV officer listing
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Kar On Karen Au work?
Kar On Karen Au has been Chief Compliance Officer of Wellington Management Japan Pte. LTD. since March 2019.