Compliance officer
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Tēnei tūranga – About the role
Business Registries (New Zealand Companies Office) is a sub-branch of the Market Integrity Branch of Te Whakatairanga Service Delivery Group, MBIE. Our vision is to deliver world leading regulation to protect fairness and integrity of markets in New Zealand, in line with the Ministry's purpose of 'Grow New Zealand for All' and towards Te Whakatairanga Service Delivery's unique contribution to the goal 'Fair Markets That Thrive'.
Business Registries is the authoritative source of information about a variety of entities, securities over personal property, and financial products. We are the guardians of New Zealand's core business information through the Companies and NZBN register and play a crucial role in building trust and confidence in our economy, helping to make New Zealand a place where doing business is easy, transparent and fair.
The Compliance Officer is responsible for administering compliance functions on behalf of the Registrar of Companies to enable all corporate entities to meet their filing obligations under relevant legislation. The role supports the wider Business Registries Team, particularly in relation to the compliance functions of all the registers the team maintains.
The Compliance Officer works alongside the Investigator Business Registries to ensure an integrated approach is taken to integrity and compliance work undertaken on behalf of the Registrar of Companies. They actively contribute to the overall compliance and enforcement strategy of Business Registries, and work in partnership with their manager and colleagues to achieve objectives.
The Compliance Officer brings strong interpersonal skills and ability to work positively and cooperatively within a team.
Ngā herenga – Requirements of the role
Personal specifications
- Sound operational and legislative knowledge of the statutory function of the Registrar of Companies (and other relevant statutory officers) or relevant commercial or public sector experience.
- Proven experience with registry systems.
- Ability to write clear and concise reports and liaise with other agencies.
- Good planning and organising skills, including ability to maintain performance when under pressure, critical assessment of workflows and appropriate prioritising of work.
- Able to identify critical issues and develops workable solutions to complex problems based on experience and knowledge.
- Recognises when problems or issues lie beyond own job boundaries or experience.
- Understanding of how legislation governs operational services. For example: Companies Act, Incorporated Society Act.
- Able to critically evaluate alternatives and makes effective decisions in spite of constraints such as time pressure or incomplete information.
- Ability to quickly assimilate new technical information and simplify the information.
- Ability to critically assess workflows and prioritise work to adjust readily to pressures and changes in the work.
- Willingness to share knowledge with other staff and to provide constructive feedback to others.
- Ability to work innovatively – takes a forward-looking and pro-active approach to issues.
- A demonstrated commitment to self-management and continuous improvement.
- Acts with honesty and integrity.
- Proven relevant experience in compliance related work.
- Work onsite with rest of the Investigations and Compliance team a minimum of 3 days a week.
Takohanga tuhinga o mua – Key accountabilities and deliverables
Contributing to the day-to-day work of the team
- Using analysis and research skills when working collaboratively with others on integrity, compliance and enforcement projects.
- Responding to requests for advice and information from both internal and external clients and provide client support in a timely manner.
- Assist investigators by triaging and entering complaints received into the team’s file management system.
- Assist investigators by initiating documentation verification processes for registered entities, making use of the Registrars’ powers of inspection or other verification processes when required.
- Referring companies for removal where non-compliance is identified.
- Assisting with objections received to company removal action.
- Assisting with restorations of companies when required.
- Assist with response preparation of external agency requests when required.
- Taking accountability for the quality of work delivered, by ensuring quality assurance and controls in line with best practice are defined and applied in all enforcement and compliance work.
- Delivery of integrity and compliance services to the highest standards required that actually support and contribute to the achievement of the Ministry’s outcomes.
Relationship management
- Participates as an active team member and contributes knowledge and expertise needed to achieve MBIE’s outcomes.
- Builds and maintains effective relationships and partnerships with internal and external stakeholders, as necessary, in order to identify and share best practice information and to promote the Ministry, its products and services.
- Develops effective working relationships with other MBIE managers and colleagues in order to transfer knowledge and learning from the team to the wider organisation.
- Represents whole-of-Ministry views and protects its reputation in any external interactions.
Self-management
- Models positive behaviours.
- Models the desired values and culture of the organisation.
- Willingly shares knowledge, expertise and within the team and with others in the organisation.
- Acts with honesty and integrity.
- Welcomes feedback and is receptive to input from others.
Customer focus
- Delivers a targeted service to internal and external stakeholders. Works to a high standard and always looks for ways to do things better.
- Identifies the needs or expectations of customers and works hard to meet deadlines.
- Treats internal customers with the same courtesies they would extend to external customers.
- Maintains professionalism and always looks to improve service.
- Provides in person customer service to members of the public that may seek assistance in person at the relevant MBIE site.
Organisational commitment and public service
- Builds commitment to MBIE’s vision, mission, values and services.
- Willingly undertakes any duty required within the context of the position.
- Manages own personal health and safety, and takes appropriate action to deal with workplace hazards, accidents and incidents.
- Complies with all legislative requirements.
- Adheres to the Ministry’s and State Services Commission Codes of Conduct.
Wellbeing, health and safety
- Displays commitment through actively supporting all safety and wellbeing initiatives.
- Ensures own and others safety at all times.
- Complies with relevant safety and wellbeing policies, procedures, safe systems of work and event reporting.
- Reports all incidents/accidents, including near misses in a timely fashion.
- Is involved in health and safety through participation and consultation.
Tō tūranga i roto i te Manatū – Your place in the Ministry
The Compliance Officer position reports into the Team Leader Compliance within the Market Integrity branch. The branch sits within the Te Whakatairanga Service Delivery group.
To mātou aronga – What we do for Aotearoa New Zealand
Hīkina Whakatutuki is the te reo Māori name for the Ministry of Business, Innovation and Employment. Hīkina means to uplift. Whakatutuki means to move forward, to make successful. Our name speaks to our purpose, Grow Aotearoa New Zealand for All.
To Grow Aotearoa New Zealand for All, we put people at the heart of our mahi. Based on the principles of Te Tiriti o Waitangi / The Treaty of Waitangi, we are committed to upholding authentic partnerships with Māori.
As agile public service leaders, we use our breadth and experience to navigate the ever-changing world. We are service providers, policy makers, investors and regulators. We engage with diverse communities, businesses and regions. Our work touches on the daily lives of New Zealanders. We grow opportunities (Puāwai), guard and protect (Kaihāpai) and innovate and navigate towards a better future (Auaha).
Ngā matatau – Our competencies
Cultivates innovation We create new and better ways for the organisation to be successful by challenging the status quo generating new and creative ideas and translating them into workable solutions.
Nimble learning We are curious and actively learn through experimentation when tackling new problems by learning as we go when facing new situations and challenges.
Customer focus We build strong customer relationships and deliver customer-centric solutions by listening and gaining insights into the needs of the communities we serve and actively seeking and responding to feedback.
Decision quality We make quality and timely decisions that shape the future for our communities and keep the organisation moving forward by relying on an appropriate mix of analysis, wisdom, experience, and judgement to make valid and reliable decisions.
Action oriented We step up, taking on new opportunities and tough challenges with purpose, urgency and discipline by taking responsibility, ownership and action on challenges, and being accountable for the results.
Collaborates We connect, working together to build partnerships with our communities, working collaboratively to meet shared objectives by gaining trust and support of others; actively seeking the views, experiences, and opinions of others and by working co-operatively with others across MBIE, the public sector and external stakeholder groups.
Te Tiriti o Waitangi
As an agency of the public service, MBIE has a responsibility to contribute to the Crown meeting its obligations under Te Tiriti o Waitangi (Te Tiriti). Meeting our commitment to Te Tiriti will contribute towards us realising the overall aims of Te Ara Amiorangi – Our Path, Our Direction, and achieve the outcome of Growing New Zealand for All. The principles of Te Tiriti - including partnership, good faith, and active protection – are at the core of our work. MBIE is committed to delivering on our obligations as a Treaty partner with authenticity and integrity and to enable Māori interests. We are committed to ensuring that MBIE is well placed to meet our obligations under the Public Service Act 2020 (Te Ao Tūmatanui) to support the Crown in strengthening the Māori/Crown Relationship under the Treaty and to build MBIE’s capability, capacity and cultural intelligence to deliver this.
Mahi i roto i te Ratonga Tūmatanui – Working in the public service
Ka mahitahi mātou o te ratonga tūmatanui kia hei painga mō ngā tāngata o Aotearoa i āianei, ā, hei ngā rā ki tua hoki. He kawenga tino whaitake tā mātou hei tautoko i te Karauna i runga i āna hononga ki a ngāi Māori i raro i te Tiriti o Waitangi. Ka tautoko mātou i te kāwanatanga manapori. Ka whakakotahingia mātou e te wairua whakarato ki ō mātou hapori, ā, e arahina ana mātou e ngā mātāpono me ngā tikanga matua o te ratonga tūmatanui i roto i ā mātou mahi.
In the public service we work collectively to make a meaningful difference for New Zealanders now and in the future. We have an important role in supporting the Crown in its relationships with Māori under the Treaty of Waitangi. We support democratic government. We are unified by a spirit of service to our communities and guided by the core principles and values of the public service in our work.
What does it mean to work in Aotearoa New Zealand’s Public Service?(external link) — Te Kawa Mataaho The Public Service Commission
