Rob Temple Email & Phone Number

Chicago, Il, Us

Greater Chicago Area

Associate DirectorAon Risk Solutions | Aon Client ServicesLincolnshire, IL - Manage a team of specialists engaged in the fulfillment of service requirements for Aon's Retail Brokerage clients (ARS)- Responsible for the performance of the team and have accountability to Aon Client Service (ACS) management and Resident Managing Directors of the office(s) the team supports. - Ensure that the team executes with the highest degree of accuracy, according to established timeframes and within the standards required to meet all compliance and control guidelines. - Responsible for all aspects of the staff's development including performance review, training and mentoring of the team.- Coordinate and direct the team to meet the changing needs of the particular ACS office(s) they support. Required to interact with the most senior Relationship Managers and meet with clients to explain service capabilities.

Greater Chicago Area

Complex Risk Officer, Deerfield ILResponsible for a wide variety of supervisory, compliance, and risk functions for an $80M complex with over 100 Financial Advisors. In conjunction with the Senior Complex Risk Officer, am accountable for maintaining a consistent control environment through adherence of business ethics and practices and adherence to all applicable Federal, State, and Local laws, Morgan Stanley policies, and other regulations.• Worked along side the entire management team in the Chicago North Complex to pass our 2013 and 2014 audits.• Working together with a Client Service Associate, helped to avoid potential fraud against a client.• Helped to smooth the transition of two branches into one larger branch.

Chicago, Il

Line Manager for over 60 support staff of a $127M complex with over 140 Financial Advisors. Support Complex Administrative Manager, Complex Control Officer, and Complex Operations Manager by performing delegated supervisory functions and mentoring the support staff. Work with the staff to attain both Firm and personal goals.• Worked with the support staff to become fully registered by passing the Series 7 & 66, or to add to their licenses by passing the Life & Heath Insurance Exam.• Devised several friendly “Team Competitions” as a way to drive Firm initiatives.• Worked as part of the new Chicago Complex to pass our first audit in July 2011 only 3 months after it was formed.

Chicago, Il

Compliance support for a $36.7M complex with 63 Financial Advisors. Support Complex Branch Manager, Complex Administrative Manager, and Complex Operations Manager by performing delegated supervisory functions and ensuring that the complex is in compliance with the Firm’s risk management guidelines and policies. Work at finding ways for FAs and Clients to get business done within the Firm policies enabling all to have a good "Client Experience."• Saved $42,000 by identifying potential fraud during routine email review• Earned the Firm’s highest grade during the past 2 audits • Strategically addressed office procedures not in compliance with the Firm’s policies to be better prepared for future audits• Assumed duties of Series 9 & 10 representative when none present in an office

Chicago, Il

Compliance support for a $12.5M office with 26 Financial Advisors, 2 FA Trainees, and 15 support staff. Support both the Branch Manager and Operations Manager by providing technical and procedural support to help drive initiatives.• 100% improvement of branch audit rating raising it from the Firm's lowest rating to the Firm's highest rating over a 7 month period • Developed personal improvement plans with support staff that included passing their Series 7 & 66 which led to one being promoted to a CSA and the other becoming registered to expand current responsibilities• Line manger for Operation Manager and Branch Service Associates

Barrington, Il

Administrative support for 13 branch offices without on-staff Administrative Managers. Regularly support Branch Managers and Operations Managers by providing technical and procedural support to help drive initiatives.• Assisted in branch audit reviews to ensure compliance• Assumed duties of Series 9 & 10 representative when none present in an office• Improved Operational staff efficiency by consolidating weekly bulk emails into one relevant communication

Greater Chicago Area

Act as compliance officer and oversaw daily operations of the branch to ensure compliance with the Firm’s policies and with NYSE, NASD, & SEC regulations. Responsible for back office operation and maintaining full support staff.• Interviewed, hired and developed support staff• Implemented cross-training program for back office support staff to better cover time critical functions• Maintained support documentation for auditory purposes• Strategically addressed office procedures not in compliance with the Firm’s policies to be better prepared for future audits• Passed every annual internal audit

Bachelor Of Business Administration - Bba (In Progress), Business Administration And Management, General

Going back to finish what I started all those years ago. :-)

Business Administration And Management, General

High School