Rights and General Policies

 Summary

The following section summarizes your legal rights as an employee of North Harbor Wealth Management. Questions about any policy detailed in this section may be addressed with Michael Raymer.

Equal Opportunity Employment Policy

The Company provides equal employment opportunities to all applicants, without regard to unlawful considerations of or discrimination against race, religion, creed, color, nationality, sex, sexual orientation, gender identity, age, ancestry, physical or mental disability, medical condition or characteristics, marital status, or any other classification prohibited by applicable local, state or federal laws. This policy is applicable to hiring, termination and promotion; compensation; schedules and job assignments; discipline; training; working conditions, and all other aspects of employment. As an employee, you are expected to honor this policy and to take an active role in keeping harassment and discrimination out of the workplace.

Accommodation for Disabled Employees

The Company is happy to work with otherwise qualified disabled employees in order to accommodate limitations, in accordance with the Americans with Disabilities Act (ADA). It is up to the employee to approach his or her supervisor with this request, and to provide medical proof of his or her needs upon the Company's request. The Company is also happy to accommodate employees diagnosed with life-threatening illnesses. Such employees are welcome to maintain a normal work scheduele if they so desire, provided that we receive medical papers proving their working cannot harm themselves or others and their work remains at acceptable standards.

Employment of Minors

North Harbor Wealth Management does not employ minors.

Religion & Politics

North Harbor Wealth Management is respectful of all employees' religious affiliations and  political views. We ask that if you choose to participate in a political action, you do not associate the Company in any way. The Company is happy to work with employees to accommodate political and religious obligations, provided accommodations are requested from a manager in advance and the employee is not in vitiation of any FINRA or Ameriprise Financial rules and regulations.

Private Information

Employee information is considered to be private and only accessed on a need-to-know basis. Your healthcare information is completely confidential unless you choose to share it. In some cases, employees and management may receive guidelines ensuring adherence to the Health Insurance Portability and Accountability Act (HIPAA)

Confidentiality

No previous or current employee may disclose or give access to confidential Company information, in any way or at any time. For questions or other information please refer to the Ameriprise Financial compliance manual. Confidentiality is of concern to everyone involved with the Practice. Clients have entrusted North Harbor Wealth Management with their personal information. This practice takes its responsibility to maintain client information in a confidential manner. Any staff member found to be in violation of the Practice’s strict adherence to industry confidentiality guidelines will be subject to disciplinary action up to, and including, immediate termination of employment.

Discrimination & Harassment

In keeping with our Equal Opportunity Employment clause, the Company will not tolerate on-site discrimination or harassment on any legally protected basis, including that of physical characteristics, mental characteristics, race, religious or political views, nationality, disability, medical condition, sex, sexual preference, or gender identification. Harassment and discriminatory behaviour among employees or contractors will result in disciplinary action, with the possibility of termination. Discrimination and harassment by customers or other business associates should be immediately reported to your supervisor, at which point the Company will investigate and take corrective action. You are welcome to seek legal relief if you find the Company's actions inadequate.

Change of Address, Telephone, etc.

Please notify your manager of any changes in address, telephone number, marital status or any other information which will affect your records, tax status or benefits eligibility.

Errands

Staff members are not to run errands or shop for clients unless authorized by their manager. You may  be asked to run certain errands for the practice including but not limited to shopping for office supplies, picking and dropping off packages ext. AFA’s are not eligible for mileage reimbursements.

Gifts

Staff members will not solicit or accept gifts of value, tips or gratuities from either clients, their families or visitors. Staff members will not give gifts of value to clients, their .families or visitors unless directed  to do so by your advisor. Cash gifts are not allowed from either party.

Parking

Parking in our private lot is restricted in use to visitor and on-duty personnel only. Your manager will advise you if there is a special section of the parking lot in which to park.

Solicitation

Solicitation or distribution of literature by staff members on Practice premises is prohibited while any staff member involved, either the person soliciting or distributing, or the person being solicited or distributed to, is on his or her working time. Staff members are not permitted to distribute advertising material, handbills or printed or written literature of any kind.

Disciplinary Action

The Company takes disciplinary matters very seriously and will exact discipline as it sees fit for any unacceptable action or behavior. These may include but are not limited to:

·       Excessive lateness and/or absence

·      Improper or indecent conduct

·       Poor communication

·       Uncooperative attitude

·       Abuse, perfunctory or unauthorized use, or unauthorized possession of Company property

·       Unauthorized use or disclosure of Company information

·       Possession and/or use of illegal drugs, weapons or explosives

·       Illegal harassment and/or discrimination - of any kind

·       Violation of Company policy

Disciplinary action may consist of anything from verbal/written warnings and counselling to demotion, transfer, suspension or termination. Rather than follow rote procedures, the Company will handle each matter individually to ensure fairness to all involved. Please review and internalize the list of "Don'ts" above, and make an effort to use good judgments at all time.

Workplace Inspections

At North Harbor Wealth Management, we have a responsibility to protect our employees and our property. For this reason, we reserve the right to inspect the following, at any time, with or without notice:

·       Offices

·       Computers and other equipment

·       Any personal possessions brought onto Company premises, such as handbags, briefcases, and vehicles.

All inspections are compulsory. Those who resist inspection may be denied access to Company premises.