Kevin So

- Lead global compliance strategy for OKX's markets and product functions across all business lines (e.g. CeFi, DeFi, Pay/Card) - Partner with Product/Business, Legal, and Risk teams to embed compliance-by-design into new product launches, ensuring alignment with global regulatory frameworks - Drive market conduct, trade surveillance, and token listings programs across OKX's global footprint

Global oversight of markets compliance functions to maintain market integrity, including Trade Compliance (dual hat), Surveillance, and Token Listings

Responsible for development, implementation, and maturation of global compliance framework for liquidity management, trading products and initiatives, and derivatives regulatory obligations

▪ Head of Regulatory Controls Management in APAC for Global Banking & Markets division with functional oversight and responsibility for the delivery of all systematic control implementations covering global and regional regulatory obligations across products and asset classes, partnering with sales, trading, compliance, legal, and engineering teams to formulate regulatory change strategy across APAC ▪ Led strategic initiatives to streamline pre-trade and post-trade control designs, workflows and processes via Agile development and drive data strategy associated with global regulatory obligations, acting as product/control owner; global lead for all post-trade regulatory trading control implementations and enhancements, including uplift and migration of legacy controls onto strategic architecture platform; global lead for business decision models using vendor solution to develop rule-based logic to drive scoping, eligibility, and adherence ▪ Global lead to develop automation/data analytics via business intelligence tools via Alteryx and Tableau, improving visibility into regulatory compliance risk and controls effectiveness

▪ Provided oversight and advisory on all compliance and regulatory matters for Asia with respect to SFC Type 1 regulated activity including all marketing and distribution activities in the region and responsible for all regulatory notifications and filings with the SFC, reporting directly to the Head of Legal and Compliance EMEA & APAC ▪ Developed regulatory Business Plan, Risk Assessment Mitigation Program, and Compliance Monitoring Program for the Asia business based on the SFC’s SFO, Code of Conduct, and AMLO using a bottom-up risk-based approach including the utilization of JIRA for automated task management ▪ Member of Asia Manager-in-Charge Committee which met quarterly to provide business, financial and compliance/regulatory updates as well as discuss key risks to the business ▪ Acted as regional COO to drive change and process efficiencies across the international offices; led onboarding of corporate governance tool to systematize tracking of legal and compliance legal entity data across the group’s 100+ entities and funds, including automation of regulatory filing alerts

▪ Drove process excellence at enterprise level specifically within Legal and Compliance functions to create systematic solutions via business and data analysis, utilizing and implementing emerging technologies (i.e. RPA, NLP, ML), and performing project management to push strategic initiatives ▪ System owner and administrator for various internal and external applications including position limits pre- and post-trade service to optimize speed, accuracy, infrastructure, and to comply with regulatory change (i.e. MIFID II)

▪ Responsible for trade bookings, reconciliations with sales/broker recaps, options expiries and barrier events, investigation of e-commerce trade fails, and P&L attribution/reporting across 3 LatAm trading desks

▪ Sole bookrunner for USD & CAD linear swaps desks responsible for trade booking, trading blotter reconciliation with the risk management system, and P&L explain, attribution, and reporting