Senior Compliance Officer Prohibitions
On this page I tēnei whārangi
Tēnei tūranga – About the role
Business Registries (Companies Office) is a sub-branch of the Market Integrity branch within 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 Te Whakatairanga Service Delivery’s contribution to the goal “Fair Markets That Thrive.”
Business Registries administers a range of registers, statutory regimes, and related regulatory functions that support trust, transparency, and confidence in New Zealand’s business environment.
The Senior Compliance Officer Prohibitions contributes to the delivery of compliance and enforcement work within Operational Legal Services. This involves analysing information, applying legislation, and producing written outputs that support sound regulatory decision-making.
The role is responsible for assessing referrals and other information received from a range of sources, primarily insolvency practitioners and the Official Assignee, to determine whether individuals meet the legislative requirements for director prohibition under section 385 of the Companies Act 1993. This includes obtaining and assessing relevant material, including evidence relating to how the affairs of the company were managed and whether that contributed to the company’s failure.
Preparing these assessments requires careful research, evaluation of evidence, and application of section 385 of the Companies Act 1993. The analysis sets out relevant facts, evidence, and reasons to support robust and defensible prohibition decisions.
The work is carried out in a fast-paced regulatory environment and involves managing tasks effectively, maintaining quality and consistency, and delivering outputs within agreed timeframes. Verbal communication is important for engagement with stakeholders, alongside structured, legislation-based written analysis.
Director prohibitions are the primary focus of the role. The role will also support Official Information Act and Privacy Act requests, reporting, and other Operational Legal Services or Business Registries matters to support operational priorities and business continuity.
Ngā herenga – Requirements of the role
Skills and experience
Legislation and analysis
- Ability to interpret and apply legislation, particularly section 385 of the Companies Act 1993, and to apply related statutory frameworks where required.
- Strong analytical thinking and ability to assess evidence and identify key issues.
Written communication and delivery
- Excellent written communication skills, including clear, structured, and well-reasoned analysis grounded in legislation and evidence.
- Experience preparing reports, memoranda, correspondence, or other structured written advice.
- Ability to manage competing priorities and deliver within agreed timeframes.
Working style and collaboration
- Strong attention to detail and ability to maintain accuracy and consistency.
- Strong interpersonal skills and ability to work collaboratively with stakeholders.
- Ability to work flexibly across tasks while maintaining quality, judgement, and appropriate escalation of issues.
Experience and background
- Experience in a regulatory, compliance, or government environment is advantageous.
- A legal background or experience working with legislation is preferred but not essential.
Qualification
- Relevant tertiary qualification or equivalent practical experience in a legal, regulatory, compliance, or business environment.
Other requirements
- Credit check required (no)
- Required to drive (no)
- Police vetting (no)
Takohanga tuhinga o mua – Key accountabilities and deliverables
Director prohibitions (primary function)
- Assess referrals and other information to determine whether matters meet the threshold for prohibition under section 385 of the Companies Act 1993.
- Analyse qualitative and quantitative information, including material from insolvency practitioners, the Official Assignee, and other sources.
- Prepare structured written assessments that set out allegations, relevant evidence, and reasons, grounded in section 385 of the Companies Act 1993, to support prohibition decision-making.
- Draft prohibition notices, memoranda, and related correspondence to communicate findings, reasoning, and outcomes.
- Work closely with the Team Leader and relevant stakeholders to support consistent, high-quality, and defensible decision-making.
Information requests and statutory process support
- Assist with or lead work relating to Official Information Act and Privacy Act requests relevant to director prohibition, Operational Legal Services, or Business Registries matters.
- Review correspondence, records, and files, and accurately assess information to determine appropriate responses.
- Ensure statutory obligations and timeframes are met, and escalate risks where appropriate.
- Respond to complaints or queries relating to prohibition matters in a professional and timely manner.
Reporting, quality assurance, and risk management
- Provide updates and input into reporting requirements relating to prohibition work, other assigned matters, and team performance.
- Maintain accurate records and file management practices in accordance with organisational requirements.
- Apply quality assurance processes to ensure work is accurate, consistent, and meets required standards.
- Proactively identify, manage, and raise risks that arise in the course of the work.
Other Operational Legal Services and Business Registries matters
- Undertake other Operational Legal Services and Business Registries work to support business continuity, operational priorities, and the effective delivery of team functions.
- Provide support or backfill for related work across Operational Legal Services and Business Registries, including where required to manage workload pressures, staff absences, or emerging priorities.
- Apply relevant legal, regulatory, and operational knowledge to support other statutory, compliance, information request, or registry-related matters within the team’s remit.
- Work flexibly across tasks and priorities while maintaining quality, consistency, and appropriate escalation of risks.
Stakeholder engagement and relationship management
- Build and maintain effective working relationships with insolvency practitioners, the Official Assignee, legal representatives, and other stakeholders.
- Engage professionally with stakeholders to obtain information, clarify issues, and support decision-making processes.
- Represent MBIE professionally and appropriately in external interactions, and support the protection of MBIE’s reputation.
Team contribution and continuous improvement
- Participate as an active team member and contribute to effective team performance, service delivery, and business continuity.
- Contribute to training, knowledge sharing, process improvement, and continuous improvement initiatives.
- Maintain up-to-date legal, technical, and operational knowledge.
- Act with integrity and be receptive to feedback.
- Model MBIE values and behaviours.
Ways of working
- During the initial training period, the position is expected to have a high level of in-office presence to support onboarding, learning, and team integration. This will typically involve attending the office regularly for an initial period of around 30 working days, or until the individual is assessed as sufficiently established in the role.
- Following this period, the position will work in a hybrid arrangement, typically involving a mix of in-office and remote working, in line with MBIE flexible working arrangements, team expectations, and operational requirements.
- Any existing or proposed flexible working arrangements will be considered within MBIE flexible working policies and in the context of team needs. Arrangements may be adjusted where necessary to support effective delivery and service standards.
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 Senior Compliance Officer Prohibitions reports to the Team Leader Operational Legal Services within Business Registries, Market Integrity branch, Te Whakatairanga Service Delivery. The functions in this group are:
- Building and Tenancy.
- Business and Consumer.
- Employment Services.
- Engagement and Experience.
- Market Integrity.
- Service Quality.
- Strategy and Enablement.
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