Revised February 5, 2024 and effective February 5, 2024
Introduction
Chartwell Financial Advisory, Inc. and CCS Transactions, LLC (collectively, “Chartwell”, “We”, “Our”, or “Us”) is providing this Chartwell Human Resources Privacy Notice (“HR Privacy Notice”) to give its California employees, job applicants, contractors, and other individuals whose Personal Information is collected for human resources purposes (such as dependents) (collectively “Personnel”) information regarding how we collect and use your Personal Information in connection with your employment and other relationship with Chartwell for these purposes. In this Notice, “Personal Information” has the meaning given to the term in the California Consumer Privacy Act.
Scope of this Policy
This HR Privacy Notice applies only to Personal Information processed in the 12-months preceding the effective date in the context of Human Resources (“HR”), employment, and other internal business functions relating to our Personnel and their family members or beneficiaries, including internal computer systems, networks, and online services.
Chartwell’s consumer Privacy Policy (“Consumer Privacy Policy”) describes how we collect, use and protect the Personal Information of individuals who use the Chartwell website (https://chartwellfa.com/) and other online services. The HR Privacy Notice will apply to the extent Chartwell Personnel use any products or services subject to the Consumer Privacy Policy.
How to Contact Us
Physical Address: Chartwell Financial Advisory, Inc.
150 South Fifth Street, Suite 2700, Minneapolis, MN 55402
Human.Resources@chartwellfa.com
Please note, if you wish to access or update information, see below for information relating to how to submit requests to exercise your rights in the Personal Information we process.
Changes to our HR Privacy Notice
We may, in our sole discretion, change this HR Privacy Notice from time to time. The revised Policy takes effect when posted on Chartwell Financial Advisory, Inc.’s website.
Categories of Personal Information
This chart describes the categories of Personal Information that Chartwell may collect in connection with its employment and contractual work relationships. Note, all Personal Information may be used and disclosed in connection with our Business Purposes.
| Category of PI and Representative Data Elements | Common Purposes for Collecting and Sharing the PI |
| Contact Data Examples: Honorifics and titles, preferred form of address, Mailing address, Email address, Telephone number | Employment/Benefits Financial Administration IT Services Internal Programs Health and Safety Risk Management and Loss Prevention Background Checks Legal |
| Identity Data Examples: Full name, nicknames or previous names (such as maiden names) Date of birth, Language, Company ID number, Company account identifiers and passwords, Benefits program identifiers, System identifiers (e.g., usernames or online credentials) | Employment/Benefits Financial Administration IT Services Internal Programs Health and Safety Risk Management and Loss Prevention Background Checks Legal |
| Government ID Data Examples: Social security number, Driver’s license number, Passport number | Employment/Benefits Financial Administration Background Checks Legal |
| Biographical Data Examples: Resume or CV, Data from LinkedIn profiles and similar platforms, Education and degree information, Professional licenses, certifications, memberships, and affiliations, Personal and professional skills, talents, goals, interests, and hobbies | Employment/Benefits Internal Programs Risk Management and Loss Prevention Background Checks |
| Employment & Payroll Data Examples: Dates of Employment, Re-employment eligibility, Position, title, department, reporting information, Work history information, Time and attendance records, Leave and absence records, Salary/Payroll records, Benefit plan records, Travel and expense records, Training plan records, Performance records and reviews, Disciplinary records | Employment/Benefits Financial Administration Internal Programs Health and Safety Risk Management and Loss Prevention |
| Financial Data Examples: Bank account number and details Company-issued payment card information, including transaction records, Personal payment card information, if provided for reimbursement Credit history, if a credit check is obtained (only done in limited circumstances) | Employment/Benefits Financial Administration Risk Management and Loss Prevention Background Checks |
| Health Data Examples: Medical information for job placement, accommodation of disabilities Medical information for leave and absence management, emergency preparedness programs, Dietary restrictions or information, Wellness program participation data, Information pertaining to enrollment and utilization of health and disability insurance programs | Employment/Benefits Internal Programs Health and Safety Legal |
| Device/Network Data Examples: Device information from devices that connect to our networks, System logs, including access logs and records of access attempts, Records from access control devices, such as badge readers Information regarding use of IT systems and Internet access, including metadata and other technically-generated Data, Records from technology monitoring programs, including suspicious activity alerts, Data relating to use of communications systems and content of those communications | Employment/Benefits Financial Administration IT Services Internal Programs Risk Management and Loss Prevention |
| Audio/Visual Data Examples: Photograph, Video images, videoconference records, Voicemails | Employment/Benefits IT Services Risk management and loss prevention |
| Inference Data Examples: Performance reviews, Results of tests related to interests and aptitudes | Employment/Benefits Internal Programs Health and Safety Risk Management and Loss Prevention Background Checks Legal |
| Compliance and Demographic Data Examples: Diversity information, Employment eligibility verification records, background screening records, and other record maintained to demonstrate compliance with applicable laws, such as payroll tax laws, ADA, FMLA, and ERISA Occupational safety records and worker’s compensation program records, Records relating to internal investigations, including compliance reports Records of privacy and security incidents involving HR records, including any security breach notifications | Employment/Benefits Internal Programs Health and Safety Risk Management and Loss Prevention Legal |
| Protected Category Data Examples: Characteristics of protected classifications under state or federal law, e.g. race, national origin, gender or gender identity, disability, marital status. | Employment/Benefits Financial Administration Immigration Management Health and Safety Risk Management and Loss Prevention Background Checks Legal |
| Sensitive Personal Information Examples: Personal Information that reveals: (A) social security, driver’s license, state identification card, or passport number; (B) account log‐in, financial account, debit card, or credit card number in combination with any required security or access code, password, or credentials allowing access to an account; (D) racial or ethnic origin, religious or philosophical beliefs (E) mail, email, and text message content (unless we are the intended recipient); and (F) Data concerning health. |
Sources of Personal Information
We collect Personal Information from various sources, which vary depending on the context in which we process that Personal Information.
- Data you provide us – We will receive your Personal Information when you provide it to us, when you apply for a job, complete forms, or otherwise direct information to us.
- Data we collect automatically – We may also collect information about or generated by any device you use to access IT services, applications, and networks.
- Data we receive from service providers – We receive information from service providers performing services on our behalf.
- Data we create or infer – We (or third parties operating on our behalf) create and infer Personal Information such as Inference Data based on our observations or analysis of other Personal Information processed under this Privacy Notice, and we may correlate this information with other information we process about you. We may combine Personal Information about you that we receive from you and from third parties.
Disclosure of Personal Information
We generally process HR Personal Information internally; however, it may be shared or processed externally by third party service providers, when required by law or necessary to complete a transaction, or in other circumstances described below.
Categories of Internal Recipients
The Personal Information identified below collected from our Personnel may be disclosed to the following categories of recipients in relevant contexts.
- Personnel of HR Department – All Personal Information relating to Human Resources and Recruitment
- Personnel of Accounting Department – Personal Information to the extent related to company and employee transactions
- Personnel of Compliance Department – Elements of Personal Information to the extent necessary to evaluate, establish, and maintain employee compliance obligations under FINRA
- Direct Supervisors and Practice Area Leadership – Elements of Personal Information to the extent permitted in jurisdiction, to the extent necessary to evaluate, establish, and maintain the employment relationship, conduct reviews, handle compliance obligations, and similar matters
- Employees Participating in Interviewing of New Employees – Personal Information of job candidates contained in job applications to the extent allowed by relevant laws and departmental needs
- IT Administrators of Chartwell and/or third parties who support the management and administration of HR processes may receive Personal Information as necessary for providing relevant IT-related support services (conducting IT security measures and IT support services)
- All Employees – Elements of Personal Information, to the extent permitted in jurisdiction, in connection with company address books, intracompany and interpersonal communications, and other contexts relevant to the day-to-day operation of company business
Categories of External Recipients
Chartwell may provide HR Personal Information to external third parties as described below. The specific information disclosed may vary depending on context but will be limited to disclosures permitted by law. We generally provide information to:
- Our subsidiaries or affiliates
- Service providers, vendors, and similar Data processors that process Personal Information on Chartwell’s behalf (e.g., analytics companies, financial analysis/budgeting, trainings, benefits administration, payroll administration, etc.)
- Prospective sellers or buyers of such business or assets in the event Chartwell sells or buys any business or assets or engages in a merger or similar transaction
- Future Chartwell affiliated entities, if Chartwell or substantially all of its assets are acquired by a third party, in which case Personal Information held by it about its employees will be one of the transferred assets
- Government agencies or departments or similar parties in connection with employment-related matters
- Any public authority in relation to national security or law enforcement requests, if Chartwell is required to disclose Personal Information in response to lawful requests by public authority
- Any other appropriate third party, if Chartwell is under a duty to disclose or share your Personal Information to comply with any legal obligation or to protect the rights, property, or safety of Chartwell, our employees, customers, or others.
Locations of Recipients
Chartwell and some Chartwell affiliates are located in the United States. Any Personal Information collected under this HR Privacy Notice will likely be processed in the United States, in addition to any other jurisdiction where such Chartwell affiliate is located.
Purposes for Collecting, Using, and Disclosing Personal Information
Chartwell collects Personal Information about its prospective, current, and former Personnel, in the context of an employment or contractual work relationship (such as dependents) for various general HR and Business Purposes, as described below. We do not sell or “share” (as defined in CCPA) HR Personal Information with third parties in exchange for monetary consideration or for advertising purposes.
General HR Purposes
Chartwell collects Personal Information about its prospective, current, and former employees, job applicants, contractors and other individuals as appropriate in the context of an employment or contractual work relationship, including for recruitment and IT/technical support services, and as needed for using internal software, networks and devices. The categories of Personal Information we process, along with representative Data elements, are listed in the chart below. We may not collect from you or process all of the Personal Information identified below, depending on your position or the nature of your relationship with Chartwell.
We generally process Personal Information for the following purposes:
| Personal Information pertaining to prospective employees may be processed for the following purposes: | Employment / Benefits | Evaluating prospective employment/engagement Recruiting and staffing assessment, including evaluating skills Conducting reference checks Tracking application status and application follow ups, activities Making hiring decisions, including compensation, benefits, relocation packages, etc. |
| Background Checks | Conducting background checks, vetting and verification, consumer credit reporting, and conducting related assessments (where permitted by law) | |
| Legal | Reporting to EEOC and other federal/state government-related reporting Protecting against liability, complying with lawful governmental investigation or request, enforcing our policies and agreements | |
| Personal Information pertaining to current employees may be processed for the following purposes: | Employment / Benefits | Evaluating, creating, and maintaining the employment relationship Administering payroll and compensation Administering insurance and benefits programs Hiring and job placement Conducting reference checks Time and attendance tracking, scheduling, managing absences, administering other workplace tasks, and facilitating relationships within Chartwell Developing talent and performance, managing skills, training, conducting performance reviews, conducting engagement surveys, and administering recognition and reward programs Conducting HR support services, such as responding to inquiries, providing information and assistance, and resolving disputes Conducting salary market surveys Recordkeeping and verifying employment/income Recordkeeping related to individual investment accounts of Broker-Dealer registered representatives to meet compliance obligations under FINRA |
| Financial Administration | Handling reimbursements for expenses and expenditures Invoicing Administering 401k/investment plans | |
| IT Services | Managing our computers and other IT assets Supporting our systems and promoting security Providing email and other communications and software services | |
| Internal Programs | Conducting diversity, equity, and inclusion initiatives and programs Conducting health and wellness programs | |
| Health and Safety | Conducting occupational health and safety programs (including required reporting, disaster and pandemic planning, vaccination status tracking, and managing incidents)Making and assessing disability accommodations Conducting anti-harassment training | |
| Risk Management and Loss Prevention | Monitoring IT systems for security and support purposes | |
| Background Checks | Conducting background checks, vetting and verifying, consumer credit reporting, and conducting related assessments (where permitted by law) | |
| Legal | ACA and IRS reporting EEOC and federal/state government reporting Protecting against liability, complying with lawful governmental investigation or request, enforcing our policies and agreements | |
| Personal Information pertaining to former employees may be collected, used and shared for: | Employment / Benefits | Evaluating, creating, and maintaining the employment relationship in the event of re-employment Administering insurance and benefits programs Archiving and recordkeeping Verifying employment and income |
| Financial Administration | Administering 401k/investment plans | |
| Legal | ACA and IRS reporting Protecting against liability, complying with lawful governmental investigation or request, enforcing our policies and agreements | |
| Personal Information pertaining to individuals whose information is provided to Chartwell in the course of HR management (e.g. regarding employees’ family members, beneficiaries, dependents, emergency contacts, etc.) may be collected, used and shared for: | Employment / Benefits | Administering insurance and benefits programs Complying with child support orders or garnishments Maintaining internal directories, emergency contact lists and similar records Recordkeeping related to individual investment accounts of Broker-Dealer registered representatives to meet compliance obligations under FINRA |
| Legal | Protecting against liability, complying with lawful governmental investigation or request, enforcing our policies and agreements |
Business Purposes
“Business Purposes” means the following purposes for which Personal Information may be collected, used and shared:
- Managing identity and credentials, including verifying and authenticating identity, issuing ID cards and badges, administering systems, and managing access credentials
- Administering security, loss prevention, information security and cybersecurity
- Complying with laws and regulations, including without limitation all uses and disclosures of Personal Information that are required by law or for compliance with legally mandated policies and procedures, such as anti-money laundering programs, security and incident response programs, intellectual property protection programs, and other processing in connection with establishing of and defending against legal claims
- Auditing, analyzing, and consolidated reporting
- Enforcing our contracts and protecting Chartwell, our workers, our clients and their employees, and the public against injury, theft, legal liability, fraud or abuse, to people or property
- As needed for de-identifying Data or creating aggregated Datasets, such as for consolidating reporting, research, or analytics
- Making back-up copies for business continuity and disaster recovery purposes, and other IT support, debugging, security, and operations
- Analyzing and improving technical and organizational services and operations
- As needed for facilitating corporate governance, including mergers, acquisitions and divestitures
Data Administration
Security
Chartwell requires that Personal Information be protected using technical, administrative, and physical safeguards, as described in our various security policies. Chartwell staff must follow the security procedures set out in applicable security policies at all times.
Retention and Disposal
Chartwell intends to retain Personal Information or Sensitive Personal Information (as defined above) for no longer than is reasonably necessary and proportionate to achieve the legitimate business purpose for which it was collected or to satisfy a legal requirement. What is necessary may vary depending on the context and purpose of processing. We generally consider the following factors when we determine how long to retain Data (without limitation):
- Retention periods established or necessary under applicable law;
- Industry and human resources best practices;
- Whether the purpose of processing is reasonably likely to justify further processing;
- Risks to individual privacy in continued processing;
- Applicable Data protection impact assessments;
- IT systems design considerations/limitations; and
- The costs associated continued processing, retention, and deletion.
Chartwell staff follow any applicable records retention schedules and policies and destroy any media containing Personal Information or Sensitive Personal Information in accordance with applicable company policies. Personal Information shall not be further processed in a manner that is incompatible with these purposes.
Your Rights and Choices
Your California Privacy Rights
Under the California Consumer Privacy Act (“CCPA”) and other comprehensive state privacy laws, you may have the following rights, subject to your submission of an appropriately verified request (see below for verification requirements):
| Right to Know | You may request any of following, for the 12 month period preceding your request: (1) the categories of Personal Information we have collected about you, or that we have sold, or disclosed for a commercial purpose; (2) the categories of sources from which your Personal Information was collected; (3) the business or commercial purpose for which we collected, sold or shared your Personal Information; (4) the categories of third parties to whom we have sold or shared your Personal Information, or disclosed it for a business purpose; and (5) the specific pieces of Personal Information we have collected about you. |
| Right to Delete | You have the right to delete certain Personal Information that we hold about you, subject to exceptions under applicable law. |
| Right to Correct | You have the right to correct certain Personal Information that we hold about you, subject to exceptions under applicable law. |
| Right of Non-retaliation | You have the right to not to receive discriminatory treatment as a result of your exercise of rights conferred by the CCPA. |
| Direct Marketing | You may request a list of Personal Information we have disclosed about you to third parties for direct marketing purposes during the preceding calendar year, if applicable. |
| Minors’ | To the extent we have actual knowledge that we collect or maintain Personal Information of a minor under age 16, those minors between the age of 13 and 16 must opt in to any sharing of personal Data (as defined under CCPA), and minors under the age of 13 must have a parent consent to sharing of personal Data (as defined under CCPA). All minors have the right to opt-out later at any time. Minors under age 13 may have other rights under the Children’s Online Privacy Protection Act (“COPPA”). |
Submission of Requests
Current Chartwell employees can review and update much of their Personal Information via the Chartwell employee portal.
If you are a current Chartwell employee, you can send an email to Human.Resources@chartwellfa.com to submit requests to exercise your rights in Personal Information subject to this HR Privacy Notice, to the extent you have those rights under applicable law. You may also contact your HR Office for assistance. If you are an applicant, former employee, beneficiary, dependent, or family member, please contact us at the address or email listed below for assistance with your privacy requests. For all other questions or comments about this HR Privacy Notice or our privacy practices, please contact Human Resources:
Physical Address: Chartwell Financial Advisory, Inc. Attn: Privacy
150 South Fifth Street, Suite 2700, Minneapolis, MN 55402
Verification of Requests
Requests to receive a copy of Personal Information, and requests to delete or correct Personal Information, must be verified to ensure that the individual making the request is authorized to make that request, to reduce fraud, and to ensure the security of your Personal Information. We may require that you log in through the Chartwell employee portal (if you are a current employee, and/or that you provide the email address we have on file for you (and verify that you can access that email account) as well as an address, phone number, or other information we have on file, in order to verify your identity. If an agent is submitting the request on your behalf, we reserve the right to validate the agent’s authority to act on your behalf.