Introduction to Optimize
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      Employee Polices

      Welcome!

      Here at Optimize Wealth Management, our core mission revolves around delivering nothing short of excellence in every aspect of our service to clients. We believe in going above and beyond to meet their needs, ensuring their financial goals are not only met, but exceeded. Equally important is our commitment to fostering a culture of continuous growth and development within our team. We recognize that each of you brings a diverse range of talents, experiences,                                                                          and perspectives to the table that strengthens our collective expertise.

      Once again, welcome to the Optimize family. I'm thrilled to have you on board, and I look forward to seeing all that we will accomplish together.

       

       

      WHO WE ARE

      We are the next generation in premier wealth management. We judge our success and value based on how well our clients financial goals are achieved, not ours.

      We distinguish ourselves by offering a comprehensive range of financial services, underscored by our commitment to independence, client-focused advice, and personalized service. Our strong financial standing and ability to generate attractive returns further solidify our position in the industry.

      Our core values of honesty, persistence, teamwork, and excellence serve as the compass guiding our actions and interactions, both internally and with our clients. Upholding these principles ensures that each member of our team actively contributes to achieving our client's goals while maintaining the highest standards of professionalism and integrity.

      WHAT WE DO

      We provide our clients with personalized financial solutions and advice to help them at every stage of their lives.

      Our financial services and solutions cover everything from financial planning and portfolio management to tax preparation, insurance solutions, debt management, and will preparation. We provide our clients with a holistic approach and advisory relationship to ensure that everyone succeeds and prospers together.

      PERSONAL INFORMATION

      Consent to use and collect personal information 

      In accepting employment with Optimize Inc. or Optimize Financial Group Inc. (collectively, “Optimize”), you are authorizing and consenting to the collection, use, and disclosure of your personal information as may reasonably be required to manage the employment relationship, to facilitate the provision of wages and benefits, and to evaluate and assess your performance.

      Access to your personnel file

      Optimize maintains a record of each employee’s work history. Upon request, employees are given the right to access their files at reasonable times and intervals or given copies of materials in their personnel file, as required by law. Arrangements with your direct supervisor can be made to view these files. Should you need to update any of your personal information (address, telephone, emergency contact, tax information), please contact the Chief People Officer.

      PROTECTION OF PRIVACY AND CLIENT INFORMATION

      Under privacy legislation and practice, Optimize is responsible for all personal information collected and stored. As an employee, you must follow the following principles:

      EMPLOYMENT CONFIRMATION AND REFERENCE REFERRALS

      Employment Confirmation 

      All requests for employee information must be directed to the Chief People Officer. The only information released will be dates of employment and last position and title held. Compensation will be disclosed only when authorized in writing by the employee. No other information should be disclosed to outside parties. Employees or direct supervisors are not permitted to release information or discuss the performance of a former employee with outside sources. The only authority to share employee information is Chief People Officer.

      Reference Referrals 

      All requests for references must be referred to Chief People Officer, which will determine how it will be answered. No direct supervisor or employee is authorized to release references for current or former employees.

      PROBATIONARY PERIOD

       Your first one hundred and eighty (180) days of employment with Optimize are considered your probationary period. During that period, you will not be eligible for group benefits, unless approved in writing by your supervisor. This probationary period is a “getting acquainted” time for you and your employer, which will evaluate your suitability for longer term employment.

      Your ability to perform your essential functions as defined in your job description; your team commitment (regular attendance, punctuality, and behaviours) and the quality of your interactions with colleagues and management will be assessed among other factors.

      The probationary period is an opportunity for you to get to know your fellow employees, your supervisor(s), the tasks involved within your job position and Optimize’s products and services. Your direct supervisor(s) will work closely with you to enhance your familiarity with the expectations of your job.

      During the first one hundred and eighty (180) days of the probationary period, your employment may be terminated for any lawful reason whatsoever, with such minimum provisions as are applicable to our employment relationship, as prescribed by applicable provincial employment standards legislation.

      Before the completion of the probationary period, the employee and employer will generally meet and review the progress to date. The employee will be advised whether they are accepted for longer term employment.

      NEW EMPLOYEE ORIENTATION

      Shortly after your first day of work, you will be asked to review and confirm the policies found herein, our Policies and Procedures Manual, and complete our Ethics Training Session. Depending on your specific department’s workload, your direct supervisor will introduce you to your co-workers and office layout.

      Please feel free to ask your co-workers any questions that were not answered during your orientation.

      BUSINESS HOURS

      • Our regular office operating hours and your particular working hours are from 8:30am. to 5:30pm, Monday through Friday, onsite.

      • The regular work week consists of five (5) days. On occasion, hours outside of regular business hours may be required.

      Should you have any questions concerning your work schedule, please speak to your direct supervisor.

      ATTENDANCE AND PUNCTUALITY

      Regular attendance is essential to the efficient operation of our business and is an essential condition of employment. When employees are absent, schedules and commitments fall behind, and other employees must assume added workloads. Employees are expected to report to work as scheduled and on time.

      Each employee is responsible to notify their direct supervisor of any absence for each day that the absence occurs and when they are likely to return to work. Absences without leave or justification will not be tolerated and will subject the employee to progressive corrective action. Employees absent for three (3) consecutive days without notification will be presumed to have abandoned their employment.

      An employee who does not intend to report to work because of illness (or any other reason) must message their direct supervisor, by telephone, email or text at least thirty (30) minutes before the employee’s regularly scheduled starting time.

      Unacceptable attendance includes (but is not limited to) unexcused or persistent early departure during scheduled working hours, frequent absences, or tardiness.

      Excessive absenteeism will not be tolerated. Direct supervisors will be vigilant of the following patterns of absence, particularly if they prove to be chronic and persistent:

      • Absences during the day before and/or the day after scheduled vacation day(s), statutory holiday(s), or weekends.

      • Absences during the day immediately following a payday. 

      • Situations where the absence(s) coincides with desirable days off. 

      BREAK AND MEAL PERIOD

      Breaks and meal periods will be provided in accordance with applicable employment standards legislation. Your breaks and meal period will be scheduled based on business needs and in compliance with employment standards legislation. Employees are not permitted to forgo breaks or meal periods, if required by legislation.

      DRESS CODE

      As members of the Optimize team, we wish to project an image of professionalism regardless of whether we are interacting with clients, suppliers, contractors, or colleagues. The image that we convey reinforces the serious approach that we take to our business dealings. As a result, staff are expected to comply with the rule of professional business attire.

      ACCEPTABLE CLOTHING

      Professional business attire includes and requires business suits, ties, collared button shirts, trousers, skirts, dresses, capris, sweaters, blazers, blouses, dress shoes, conservative walking shoes, closed toed and business shoes.

      Employees are required to consider their level of public interaction and the kinds of meetings and work that they are scheduled to complete in determining the appropriate attire.

      UNACCEPTABLE CLOTHING

      Clothing that reveals excess cleavage, back, chest, stomach, or undergarments is not appropriate for our place of business. Clothing should never be wrinkled, torn, soiled, or frayed.

      Any clothing that has messaging or representations may be offensive to the public and other employees and therefore should not be worn.

      Tight, shear, or revealing clothing are not to be worn in any area. Jeans, denim, sweatpants, exercise clothing, short shorts, or mini skirts, beach, and thin- strapped dresses, leggings, sweatshirts, sports t-shirts, tank tops, halter tops, halter dresses, ball caps, athletic shoes, open toed shoes, sandals, flipflops, and slippers are not acceptable.

      JEWELLERY

      Tasteful professional scarves, belts, and jewellery are encouraged, however, must project an image of professionalism.

      GROOMING

      In addition to appropriate dress, employees are expected to project a clean, neat, and business-like and professional appearance. Hair should be appropriately managed. Employees should be clean shaven or have neatly trimmed facial hair. 

      COMPENSATION PHILOSOPHY

      Optimize is committed to compensating its employees at scales that are competitive with other employers in the marketplace and which are meant to be motivational, fair, and equitable. Compensation may vary from individual to individual, however, will be in consistent compliance with all the applicable statutory requirements. In keeping with professionalism, employees are expected to keep their compensation confidential.

      BASIS FOR DETERMINING PAY

      • There are a range of factors that impact your rate of pay, including but not limited to the demands and scope of your job. 

      • What other employers pay their employees for the same or comparable jobs. 

      • What Optimize pays its employees in the same or comparable positions.

      • Individual and Optimize’s performance.

       
      VACATION SCHEDULING

      While Optimize is committed to attempting to accommodate personal preferences for scheduling vacations, they cannot interfere with your department’s operation. Your direct supervisor has the responsibility to maintain adequate staffing levels and has the authority to limit the approval of vacation requests in order to meet operational needs.

      Any proposed vacation scheduling must be approved by your direct supervisor at least four (4) weeks in advance. Vacation approval will be based on an assessment of the requirement for your services during the proposed time off and any other vacation requests.

      Once your direct supervisor has provided written approval of your vacation request, you must notify the payroll department and send them the written approval.

      The payroll department maintains complete employee records which include a record of absences. The written vacation approval will be archived in your personnel file, the vacation days will be logged, and the time taken will be applied against your vacation accrual.

      Only vacation accrued as of the date of the proposed vacation schedule may be taken. Advances on future accruals are not permitted.

      INCREMENTS

      All vacation time must be taken in minimum increments of one or two weeks at a time unless the employee requests in writing to take vacation in smaller increments.

      ACCRUED VACATION

      Employees are encouraged to schedule and use the vacation that they accrue during each calendar year and over the three-month period after the end of the calendar year of its accrual.

      Any vacation entitlement that is in excess of the minimum requirements of the ESA must be used within three months of the end of the calendar year that it was accrued, failing which it will be forfeited and have no cash out value upon the cessation of your employment.

      CESSATION OF EMPLOYMENT

      Unused paid vacation days as of the date of the cessation of your employment will be paid out in compliance with applicable employment standards legislation.

      VACATION LEAVE ENTITLEMENTS
      • Vacation is a time for you to rest, relax, pursue special interests, and support a work/life balance.
      • All employees who have accrued one year or more of service are eligible to use vacation time. Vacation entitlements are prorated for the first year
        of service.
      • Regular full-time employees accrue vacation for each month of service. The vacation accrual rate is based on length of employment, as follows:

      • To the extent that an employee’s individual arrangement or agreement offers more vacation than the policy, that more generous provision will prevail.
      • Regular part-time and temporary employees with less than one year of uninterrupted service are entitled to a percentage of their vacationable earnings on each pay based on the statutory minimum entitlements.
      • They are not entitled to vacation time. If you are on approved leave or job- protected leave under employment standards legislation, your accrual of vacation time as a function of length of service will not be affected.
      • Employees are not entitled to paid vacation during any leave unless otherwise prescribed by employment standards legislation.
       

      PERFORMANCE EVALUATIONS

      Performance evaluations are important tools as part of Optimize’s commitment to your growth and success as an employee. The purpose of such evaluations is to provide both you and your direct supervisor with the opportunity to discuss your job tasks, encourage and recognize strengths, identify and correct weaknesses; discuss methods for improving your performance; and your career path and trajectory at Optimize.

      Changes to compensation may be provided to employees who have continually exceeded performance expectations. Compensation could include increases to wages/salary or additional vacation time. Increases are based on employee merit and Optimize performance and are within the discretion of Optimize.

      OPEN DOOR POLICY

      Optimize encourages you to speak freely with members of the management staff about your work-related concerns and problems. It is the responsibility of all employees to communicate openly to resolve work-related problems.

      Complaints and frustrations should be voiced in a timely, appropriate and constructive manner. Employees are encouraged to first discuss such problems with the person(s) involved. If a resolution is not reached, the issue should be discussed with your direct supervisor.

      CELL PHONE USAGE

      Personal cellphone usage in the office should be kept to a minimum and may not disrupt the workplace.

      OPTIMIZE EQUIPMENT

      Improper, careless, negligent, destructive, unauthorized, or unsafe use of Optimize equipment is prohibited. Loss of or damage to Optimize equipment by an employee may result in their having to reimburse Optimize.

      SMOKE-FREE WORKPLACE

      To protect and enhance our indoor air quality and to contribute to the health and wellness of all employees, customers, contractors, and vendors, Optimize has implemented a smoke-free policy. Tobacco and marijuana smoking and use of all other smoking or vaping products are prohibited in facilities or buildings owned or operated by Optimize except for designated smoking areas, such as outdoors.

      TELEPHONE/ SOCIAL MEDIA USAGE

      Since employees represent Optimize during telephone conversations and in communications on email, text or social media, a professional and civil tone and manner must be maintained through all exchanges.

      CONFIDENTIAL INFORMATION

      At times during your employment, you will be privy to confidential information as it is required to perform the essential duties of your position.

      Confidential information that you are exposed to is solely for the purpose of performing your responsibilities under your employment agreement and may not be disclosed to others outside of the organization or used for any purpose other than your duties.

      This restriction applies during your employment and after the date of its cessation. Internal use of confidential information should be limited to those who require it in order to perform their responsibilities.

      All employees shall keep confidential and shall not, during the course of their employment or any time after its cessation, disclose to any person or organization any financial or business information of Optimize that they may have acquired during the course of employment.

      If you have any questions or have any doubts about what constitutes confidential information, please contact your direct supervisor or Compliance. No one is permitted to remove or make copies of any Optimize records, reports, or documents without prior management’s written approval. Disclosure of confidential information could lead to termination for just cause, as well as other possible legal action.

      EXPENSE APPROVAL AND SUBMISSION POLICY

      This policy aims to streamline the process of pre-approval for all expenses, submission of credit card expense forms, and expense reimbursement forms, ensuring transparency, accountability, and efficiency within
      the organization.

      PRE-APPROVAL OF EXPENSES

      1. All expenses require pre-approval from the head of finance. This includes all expenses (whether through an Optimize credit card or otherwise) such as office supplies, hiring accountants, licensing software, engaging lawyers, charitable giving, computer acquisitions, etc.
      2. Employees must submit a request outlining the purpose, amount, and reason for the expense to accounting@optimize.ca

      3. Finance will review and approve/reject the expense request based on its alignment with company policies and budgetary discretion.

      4. Pre-approval for expenses will be communicated through email. This email should be saved as a pdf and should accompany the expense receipt when it is submitted for payment to accounting along with the credit card expense form, the reimbursement form, or simply the receipt if the expense is to be paid directly by accounting.
        Please note the pre-approved expense should be incurred within the specified timeframe and in adherence to the approved budget, any material change will require new pre-approval.

      INFORMATION SYSTEMS USAGE POLICY AND ELECTRONIC MONITORING POLICY

      Use of Optimize computers, networks, messaging systems, and Internet access is a privilege that may be revoked at any time for inappropriate conduct. Users are expected to act responsibly and to respect others. Examples of inappropriate conduct include, but are not limited to, the following:

      • Engaging in unauthorized outside business activities.
      • Promoting non-Optimize related causes.
      • Misrepresenting oneself or Optimize.
      • Engaging in unlawful or malicious activities.
      • Using abusive, profane, threatening, racist, sexist, or otherwise objectionable language in any message.

      • Accessing, sending, receiving, storing, or printing pornographic, racist, sexist, or otherwise discriminatory, or objectionable materials.

      • Causing congestion, disruption, disablement, alteration, or impairment of Optimize networks or systems.

      • Infringing in any way on the copyrights or trademark rights of others.

      • Unauthorized or unlicensed use of software or intellectual property.

      • Knowingly propagating or disseminating malicious software of any type.

      • Using recreational gaming, gambling, or streaming services.

      • Use of peer-2-peer file sharing applications.

      • Defeating or attempting to defeat security restrictions on Optimize systems and applications.

      Use that interferes with normal job functions or the ability of users to perform daily job activities is also considered inappropriate. This Policy informs users that the tools, applications, and information created and accessed from Optimize’s computer systems are the property of Optimize, and users should have no expectation of privacy on Optimize-owned and Optimize-administered systems.

      MONITORING

      Optimize provides the network, Internet, computers, electronic messaging, and other Information Technology resources for the conduct of Optimize business. Optimize IT resources are subject to monitoring, logging, auditing, and inspection at Optimize’s discretion. Data and correspondence stored on Optimize systems may be subject to legal and administrative inquiry. Optimize may inspect any information stored on its systems at any time without notice. Optimize’s Technology Resources [which includes, but is not limited to, work computers, laptops, social media accounts, emails, instant messages, text messages, electronic files, internet, internal communication and collaboration tools-(such as HubSpot and Microsoft 365), phone records, and voicemails] may be monitored, reviewed, recorded, and investigated by appropriate personnel within Compliance, Information Technology ("IT"), Legal, Finance, and/or by Optimize management for the purposes of employee training and review, measuring productivity and system usage, auditing and assessing system security, performing system analysis and maintenance, auditing compliance and/or conducting workplace investigations; and records of activity on these systems may be used by Optimize (including, without limitation, in connection with performance management and disciplinary/ corrective action) and/or turned over to law enforcement authorities and other third parties.

      Users consent to such monitoring, reviewing, recording, disclosure, investigation, and use when they sign on, access, and/or use Optimize’s Technology Resources. Users should have no expectation of privacy with respect to Optimize’s Technology Resources.

      PASSWORDS

      Initial passwords are assigned by the IT department. Users must change their initial passwords as soon as possible using the instructions provided by IT. Users will also be required to change their passwords on a regular basis by Optimize Policy.

      Passwords must not be shared, stored, or displayed in locations where they could be accessible to others. Sharing your own password or using another person’s credentials is prohibited unless both IT and end-user agree it is necessary to accomplish a specific service request, and the password will be changed within a specified time. Optimize reserves the right to override any user-selected passwords or codes.

      ELECTRONIC MESSAGING

      The content of all electronic messages is governed by Optimize’s user manual and Code of Conduct. E-mail and other means of electronic communication should be used for appropriate business purposes. Messages should be treated as confidential by other users and accessed only by the intended recipient. Users are not authorized to retrieve or read any e-mail messages that are not sent to them.

      CARE OF EQUIPMENT

      Users are responsible for the care and protection of the equipment issued to them. Users will not deface or physically alter Optimize-provided equipment. Users must return all equipment to Optimize upon completion of the assignment for which it is intended, at termination, or at the request of management or IT personnel.

      Physical security is the responsibility of the user. Mobile devices should be secured (locked or attended by owner) due to the risk of theft. Equipment issued solely for use at home or other non-business location must be approved in advance by management and IT, and a record of the equipment will be maintained by IT.

      INTERNET USE

      Internet access is provided to users for business purposes. Any personal use should be incidental and should not interfere with the performance of an individual’s job function.

      Users with Internet access are expressly prohibited from accessing, viewing, downloading, uploading or printing violent, pornographic, sexually explicit, or other materials that may be considered offensive, as outlined elsewhere in this policy.

      In addition, users should be mindful that there is no assurance that e-mail text, attachments, or other Optimize information sent or posted within the Optimize and on the Internet will not be seen, accessed, or intercepted by unauthorized parties.

      SOCIAL NETWORKING

      This includes blogging, chat rooms, forums, social sites, etc. Optimize systems should not be used for personal networking.

      CONSEQUENCES OF VIOLATION

      Failure to comply with this policy governing the use of IT resources may result in consequences which could include the revocation of user access and privileges, removal of equipment, user discipline up to and including termination.

      HARASSMENT AND DISCRIMINATION POLICY

      Optimize upholds and supports the right to equal treatment without discrimination or harassment. Discrimination and harassment are strictly prohibited.

      Anyone at Optimize found to have engaged in conduct constituting unlawful discrimination and/or harassment may be subject to disciplinary action, up to and including termination for just cause.

      A key element of harassment is the way in which an individual perceives the harassing incident. Therefore, even if the comment or conduct was not intended to be harassment, it may be considered harassment if it has had the effect of unreasonably interfering with the employee’s work performance or creating an intimidating, humiliating, hostile or offensive environment.

      A few common examples of harassment may include, but are not limited to:

      • Making remarks, jokes or innuendos related to a person’s race, disability, creed, or age.
      • Posting or circulating offensive pictures, graffiti or materials, whether in print or via e-mail or other electronic means.

      SECURITY

      Maintaining the security of Optimize’s buildings is every employee’s responsibility. Develop habits that ensure security as a matter of course.

       

      As noted above, employees must inform their direct supervisor immediately about any potential health or safety hazards, and all injuries or accidents, so that any dangerous situation can be corrected. Employees are strongly encouraged to report any situations of this nature and need not fear any form of reprisal as a result of their compliance with this policy.

      ENTERING AND LEAVING THE PREMISES

      At the time you are hired, you will be advised about the proper entrances and exits for employees, as well as unauthorized areas.

      SEPARATION FROM EMPLOYMENT

      TERMINATION FOR CAUSE

      The employment relationship may be terminated by Optimize at any time for cause, without notice or payment in lieu of notice or severance pay, unless such payments or provisions are required by employment standards legislation in the circumstances. Cause includes, but is not limited to dishonesty, conflict of interest, breach of confidentiality, harassment, insubordination, or careless, negligent or documented poor work performance, theft, or other misconduct.

      TERMINATION WITHOUT CAUSE

      An employment contract may be terminated by Optimize at any lawful time and reason on a without cause basis, upon the satisfaction of the minimum requirements under applicable employment standards legislation, including the provision of notice or payment instead of notice, benefits continuance, accrued wages, vacation pay and severance pay if applicable, and that shall be the employee’s full and final entitlement upon termination. In no instance will an employee receive less than the minimum requirements of the employment standards legislation nor will such a termination be effected in a manner that is violative of employment standards or human rights legislation.

      REDESIGNATION

      After completion of the first one hundred and eighty (180) days of the probationary period, you must give Optimize at least two weeks’ notice of resignation. Optimize may waive the resignation notice period in whole or in part by satisfying the minimum requirements of the applicable employment standards legislation.

      OPTIMIZE PROPERTY

      Upon cessation of employment for any reason, all items of any kind created or used pursuant to your service or furnished by Optimize including but not limited to computers, reports, files, electronic files, manuals, literature, confidential information, or other materials shall remain and be considered the exclusive property of Optimize at all times, and shall be surrendered to your direct supervisor, in good condition, promptly and without being requested to do so.

      You may not make copies of or remove any information that has been developed for Optimize and/or is Optimize property, including databases, contacts, sales proposals, etc., unless given written permission by the CEO or designate.

      FINAL PAYCHEQUE

      If you owe any money to Optimize, you will be asked to devise a plan for repayment. Your final pay will be remitted in accordance with the payroll schedule and employment standards legislation.

      For employees with inquiries concerning company policies, we encourage you to reach out for assistance. Our team is available to provide clarification and support regarding any questions you may have regarding company protocols.

      At Optimize Wealth Management, we foster a culture of collaboration, growth, and innovation. We believe that each team member plays a crucial role in our success, and we're thrilled that you're now a part of it.

      Once again, welcome aboard! We can't wait to see all the amazing things we'll achieve together.