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Christopher Au Email & Phone Number

COO / CCO at Advantage Gold at Advantage Gold
Location: Los Angeles, California, United States 5 work roles 2 schools
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✓ Verified May 2026 3 data sources Profile completeness 86%

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Current company
Advantage Gold
Role
COO / CCO at Advantage Gold
Location
Los Angeles, California, United States
Company size
29 employees

Who is Christopher Au? Overview

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Quick answer

Christopher Au is listed as COO / CCO at Advantage Gold at Advantage Gold, a company with 29 employees, based in Los Angeles, California, United States. AeroLeads shows a matched LinkedIn profile for Christopher Au.

Christopher Au previously worked as Chief Operating Officer and Chief Compliance Officer at Advantage Gold and Director Of Compliance at Houlihan Lokey. Christopher Au holds Bachelor’S Degree, Finance, Economics, Supply Chain Management from Syracuse University.

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Advantage Gold

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Profile bio

About Christopher Au

Chief Operations and Compliance Officer with a depth and breadth of experience in capital markets, spanning back to front office positions, working at global financial institutions, a start-up, and a regulator. Expertise in US broker-dealer regulatory environment, anti-money laundering, global clearing and settlement, securities processing and operational control. Experienced in working with and managing teams internationally. Skills include risk assessment and delivering analysis of business processes, producing strategies to improve operations, and implementing business and technology solutions. Able to quickly build and maintain relationships at the senior level and adapt to diverse and challenging circumstances using verbal, written, and interpersonal skills.

Current workplace

Christopher Au's current company

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Advantage Gold
Advantage Gold
COO / CCO at Advantage Gold
los angeles, california, united states
Website
advantagegold.com
Employees
29
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5 roles

Christopher Au work experience

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Chief Operating Officer And Chief Compliance Officer

Current
Advantage Gold

United States

Jul 2021 - Present

Director Of Compliance

Houlihan Lokey

Greater Los Angeles Area

FINRA Series 24 licensed principal. Investment banking broker-dealer experience in financial advisory, M&A, and financial restructuring platforms. Lead internal testing and monitoring programs to monitor, assess risk, identify opportunities for improvement, and suggest creative resolutions. Areas of surveillance included AML/KYC, email, marketing, outside.

Apr 2018 - Jul 2021

Associate Principal Examiner

Finra

New York City

Risk​ ​Oversight​ ​and​ ​Operational​ ​RegulationPlanned, lead and executed multiple broker-dealer examinations simultaneously using the FINRA risk-based approach. Subject matter reviews included reserve computation (15c3-3), net capital maintenance (15c3-1), funding and liquidity, technology governance and cybersecurity, client possession or control.

Aug 2015 - Dec 2017

Associate Director Of Sales

Standard & Poor'S

New York City

CUSIP Global Services, Market Data SalesManaged 188 client relationships in 15 states covering over $6.5 million dollars in renewable subscription-based revenue. Client types ranged from small asset managers to multinational broker-dealers.

Jun 2012 - May 2015

Cross Products Services Operations Director

Morgan Stanley

Brooklyn

Extensive functional knowledge of a full range of fixed income, equity, and derivative products, having worked in day-to-day operations, at an overseas office location and as a manager of domestic and international employees.

Apr 2005 - May 2012
Team & coworkers

Colleagues at Advantage Gold

Other employees you can reach at advantagegold.com. View company contacts for 29 employees →

IW Isaac Whitwell Isaac Whitwell Colleague at Advantage Gold Austin, Texas, United States, United States View → CB Chase Broeckelmann Chase Broeckelmann Colleague at Advantage Gold Austin, Texas, United States, United States View → TD Todd Dutkevitch Todd Dutkevitch Colleague at Advantage Gold Los Angeles Metropolitan Area, United States View → CJ Chelsey Jenkins Chelsey Jenkins Colleague at Advantage Gold Austin, Texas Metropolitan Area, United States View → JD Joseph Daniw Joseph Daniw Colleague at Advantage Gold Los Angeles, California, United States, United States View → JF Jared Franco Jared Franco Colleague at Advantage Gold Los Angeles Metropolitan Area, United States View → LL Larry Levin Larry Levin Colleague at Advantage Gold Los Angeles, California, United States, United States View → HL Hannah Lang Hannah Lang Colleague at Advantage Gold Hickory, North Carolina, United States, United States View → NP Nicholas Parr Nicholas Parr Colleague at Advantage Gold Farmington, Michigan, United States, United States View → SF Stephanie Frings Stephanie Frings Colleague at Advantage Gold Los Angeles, California, United States, United States View →
2 education records

Christopher Au education

FAQ

Frequently asked questions about Christopher Au

Quick answers generated from the profile data available on this page.

What company does Christopher Au work for?

Christopher Au works for Advantage Gold.

What is Christopher Au's role at Advantage Gold?

Christopher Au is listed as COO / CCO at Advantage Gold at Advantage Gold.

Where is Christopher Au based?

Christopher Au is based in Los Angeles, California, United States while working with Advantage Gold.

What companies has Christopher Au worked for?

Christopher Au has worked for Advantage Gold, Houlihan Lokey, Finra, Standard & Poor'S, and Morgan Stanley.

Who are Christopher Au's colleagues at Advantage Gold?

Christopher Au's colleagues at Advantage Gold include Isaac Whitwell, Chase Broeckelmann, Todd Dutkevitch, Chelsey Jenkins, and Joseph Daniw.

How can I contact Christopher Au?

You can use AeroLeads to view verified contact signals for Christopher Au at Advantage Gold, including work email, phone, and LinkedIn data when available.

What schools did Christopher Au attend?

Christopher Au holds Bachelor’S Degree, Finance, Economics, Supply Chain Management from Syracuse University.

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