Lennox A. Routie Email & Phone Number

New York, New York, United States

Federal Bank Regulator/Large Banks Supervision at the OCC. Regulate all aspects of Banks' operations.

Oviedo, Florida, United States

One of the Founders of MomentMD, a Telemedicine company (WWW.MomentMD.com) providing 24 x 7 x 365 access to Medical Care and Veterinarian services nationwide, via video and e-prescribe Rx.

Orlando, Florida Area

Managing a portfolio of residential real estate investments specializing in purchases and rentals. Providing property management services, marketing strategies to ensure profitability and investment analysis for venture capital investors for single, duplexes, and multifamily properties.

Lake Mary, Florida

Develop strategic risk initiatives, implement risk mitigation strategies and provide oversight and governance of risk management policy for 10 business lines in 12 US locations. • Reduced annual expenses by reorganizing business continuity testing processes and eliminating unused redundant equipment. • Provided strategic planning guidance to mitigate processing risks for Florida and other locations by preparing analyses for alternate processing locations, to complement the cross… Show more Develop strategic risk initiatives, implement risk mitigation strategies and provide oversight and governance of risk management policy for 10 business lines in 12 US locations. • Reduced annual expenses by reorganizing business continuity testing processes and eliminating unused redundant equipment. • Provided strategic planning guidance to mitigate processing risks for Florida and other locations by preparing analyses for alternate processing locations, to complement the cross regional operations strategy. • Align off-shore operations with corporate testing policy by liaising with international global planning managers and corporate business continuity. • Developed and implemented a review process of business continuity plans and coordinated remediation strategies with business units. • Designed a Risk Control Self Assessment (RCSA) training program for management to correctly identify risks and mitigating controls in their businesses. • Provided significant recovery support for the business units from Florida, during hurricane Sandy and coordinated the recovery efforts with BNYM corporate business continuity group. Show less

New York, Ny, Orlando, Florida

Develop the strategic risk management vision that is compliant with Basel II, Sarbanes Oxley, COSO and corporate policies, for the $4T global processing operations. • Designed and implemented a global operational risk model to support risk mitigation strategies, such as, risk and scenario analyses, key risk indicators, risk oversight groups, framework validations for dynamic risk monitoring and trend analysis, etc., and report results to executive management and BNYM executive risk… Show more Develop the strategic risk management vision that is compliant with Basel II, Sarbanes Oxley, COSO and corporate policies, for the $4T global processing operations. • Designed and implemented a global operational risk model to support risk mitigation strategies, such as, risk and scenario analyses, key risk indicators, risk oversight groups, framework validations for dynamic risk monitoring and trend analysis, etc., and report results to executive management and BNYM executive risk committee. • Performed risk assessments and analyzed root causes of operational failures for the business products and outside vendor services, and monitored appropriate corrective controls. Developed policy, procedures, training and coordinated with business managers to drive a control oriented culture in the businesses. • Assisted in the successful recovery efforts of operations from 9/11 and three hurricanes in Florida. • Diversified business and technology operations to reduced risks to terrorism by successfully implementing a tri-angular processing model in three states. • Provided strategic guidance for the design and implementation of business intelligence to monitor the global control environment of the business. • Supervised projects to automate the domestic collateral verification process for fund wires and instituted policy and procedures to analyze clients’ behavior and monitor compliance with new policy. • Vice chairman of the Business Risk Meeting committee (BRM) for BDS to review and opine on risk issues with supporting risk management groups including, Legal, ORM, Credit Services, Compliance, Sector CAO and Audit. Show less

Orlando, Florida

Responsible for deriving efficiency, reduce risks and improve controls in the domestic operations through automation. • Recommended an estimated $5m in savings from efficiency, automated controls, staff reductions and greater client services in the collateral management operations • Designed a framework for real-time transactions monitoring in the multiple geographical locations.

Orlando, Florida

Manage a staff of twelve to provide client support services in Data Security, Projects, Net Free Equity monitoring, Daylight Overdraft, Client Testing and User Acceptance Testing. • Reduced overhead expenses by 33%, expanded the department’s responsibilities, instituted risk monitoring controls and raised the business continuity resiliency level of the groups. • Increased the turnaround time for User Acceptance Testing by over 30%, by streamlining the unit’s objectives and adhering… Show more Manage a staff of twelve to provide client support services in Data Security, Projects, Net Free Equity monitoring, Daylight Overdraft, Client Testing and User Acceptance Testing. • Reduced overhead expenses by 33%, expanded the department’s responsibilities, instituted risk monitoring controls and raised the business continuity resiliency level of the groups. • Increased the turnaround time for User Acceptance Testing by over 30%, by streamlining the unit’s objectives and adhering to budgets guidelines. • Eliminated client complaints by implementing an automated test schedule online and automated the test set up requirements for clients. Show less

New York, New York

Assist in the start-up of BNY Mellon’s Operational Risk Management unit and implement Basel II by designing and rolling out the firm’s Enterprise Risk Management (ERM) program across the company. • Developed and implemented Operational Risk Management tools including scorecards, KRIs, internal/ external loss databases, scenario analysis and framework validations to identify, evaluate, monitor, prioritize and report on risks and related controls to BNYM executive risk committee. •… Show more Assist in the start-up of BNY Mellon’s Operational Risk Management unit and implement Basel II by designing and rolling out the firm’s Enterprise Risk Management (ERM) program across the company. • Developed and implemented Operational Risk Management tools including scorecards, KRIs, internal/ external loss databases, scenario analysis and framework validations to identify, evaluate, monitor, prioritize and report on risks and related controls to BNYM executive risk committee. • Coordinate the review of new products or significant changes to existing products for presentation to the Operational Risk Committee. • Participated in annual State and Federal reviews of BNY’s Operational Risk Management framework and received positive feedback for the integration of Broker Dealer Services. Show less

New York, New York

Manage a staff of four responsible for audits in Domestic Custody and Broker Dealer Services. • Developed audit programs and detail risk assessments for areas of review. • Performed audit reviews and recommended controls in BDS and Domestic Custody divisions in areas of FED/DTC securities clearing, global collateral management, corporate actions, income collection, vault operations, funds and securities reconciliations, etc.

New York, New York

Manage a staff of five responsible for audits in the Custody Operations of the Bank. • Developed audit programs and performed audit reviews the Domestic Custody division. Areas of responsibility included FED/DTC securities clearing, corporate actions, income collection, vault operations, funds and securities reconciliations, checks processing operations, etc. • Assisted in the preparation of reports to senior management on findings and recommendations to mitigate risks.

New York, New York

Manage a staff of three responsible for audits in Custody Operations and Special Projects. • Performed internal audits of the back office operations, such as, P&I payments, Cage operations, checks processing, receive and deliver of securities, reconciliation, billing, account openings, etc. • Worked on a special project involving a fraud in corporate actions. Responsible for recreating and analyzing the transaction for fraudulent activities. • Assisted in the preparation of… Show more Manage a staff of three responsible for audits in Custody Operations and Special Projects. • Performed internal audits of the back office operations, such as, P&I payments, Cage operations, checks processing, receive and deliver of securities, reconciliation, billing, account openings, etc. • Worked on a special project involving a fraud in corporate actions. Responsible for recreating and analyzing the transaction for fraudulent activities. • Assisted in the preparation of reports and documents for the SEC regulators to review. Show less

New York, New York

Manage a staff of two responsible for audits in all Operations areas of the company. • Performed audits on Corporate Actions, Dividends, Settlements, Securities and Cash Processing, Reconciliation, Coupons Processing, ID system, Billing, etc. • Audited securities in the Vaults for fraudulent activities.

Bachelor Of Business Administration (Bba), Economics/Management

Associate Of Arts (A.A.), Business Administration, Graduated Dean’S List