Your Firm’s Compliance Safety Net: The Evolving Role of Chief Operating Officer
Ever wonder about the person behind your law firm’s seamless operations and impeccable regulatory compliance? Step into the world of the modern Chief Operating Officer – the unsung hero keeping professional service firms running smoothly while navigating an increasingly complex regulatory landscape.
Sheri Middlemas, COO of Bertolino Law Firm, pulls back the curtain on how this role has evolved from what she calls “a Swiss army knife in khakis” handling facilities and budgets to today’s strategic architect designing systems, building firm culture, and ensuring regulatory compliance. For firms specializing in professional license defense, maintaining impeccable compliance themselves isn’t just good practice—it’s essential credibility.
The conversation reveals fascinating insights into the practical implementation of regulatory vigilance, from establishing internal tracking systems for rule changes to creating auditable staff training programs. Sheri highlights a memorable compliance learning moment involving an accidental file attachment that triggered a complete overhaul of email safeguards, demonstrating how even near-misses can lead to stronger systems. She offers valuable advice for aspiring COOs: understand your regulatory framework, build intuitive compliance systems, and remain approachable so team members seek guidance before mistakes happen.
What becomes clear throughout this engaging discussion is how the modern COO serves as the critical bridge between operational efficiency and professional responsibility. As Sheri puts it, she functions as “Google Maps for firm operations, with alerts for potholes titled potential bar complaints.” Subscribe to Know Your Regulator for more behind-the-scenes insights into the people and processes keeping professional services firms running smoothly while maintaining regulatory excellence!
Transcript
Speaker 1: 0:01
This podcast is for educational purposes only, does not constitute legal advice and does not create an attorney-client relationship. If you need legal assistance about a legal problem, contact an attorney.
Speaker 2: 0:13
Welcome back to Know your Regulator, the podcast that inspires you to engage. I am your host, Simone Murphy. Today we’re going behind the scenes to meet the unsung hero of your law firm’s success the Chief Operating Officer. Some call them the chief of getting stuff done, others just call them when the copier starts making strange noises. But in truth, today’s COO is a strategic partner, culture builder and let’s not forget, your compliance safety net. Joining us is Sheri Middlemas, the COO of Bertolino Law Firm here in Austin, an ops pro who helps our firm run smoothly, stay compliant and still manage to have a little fun. Welcome, sherry.
Speaker 1: 0:55
Thanks, simone, excited to be here. And yes, keeping things compliant is way more fun than it sounds, I promise.
Speaker 2: 1:02
Well, let’s rewind a little bit. What did the COO role look like, say, 15 years ago?
Speaker 1: 1:10
15 years ago, all right, so think of it as like a Swiss army knife. In khakis, the COO used to be the person that handled facilities, budgets maybe dabbled in HR, but mostly just kept things from catching fire.
Speaker 2: 1:27
Are we talking literal or metaphorical fires here?
Speaker 1: 1:30
Yes, but now the COO is a strategic architect. We’re involved in growth planning, system design, firm culture and one that’s really evolved throughout the past years. Regulatory compliance.
Speaker 2: 1:47
Yes, that not so glamorous but very, very essential part huh.
Speaker 1: 1:53
Exactly so. Especially in firms like ours, where our practice area is defending professional licenses, we have to stay beyond reproach ourselves, or, as I like to say, we need to set the standard by which all others should be measured. That means making sure every I is dotted, every privacy safeguard is in place and every update to professional ethics rules is on our radar before it hits the news?
Speaker 2: 2:20
Yeah, absolutely, I would say that’s very essential. With that being said, how does regulatory compliance show up in your day-to-day?
Speaker 1: 2:46
auditable staff training on confidentiality and ethics keeping records retention policies compliant with bar regulations. Our firm has actually established an internal system that tracks regulatory updates from state bar and all state licensing boards. When a rule has been proposed or changes have been proposed or there’s a new rule that’s been adopted, we’re reviewing our internal processes and not just reacting, but proactively aligning.
Speaker 2: 3:10
Knowing your regulator is so important. It sounds like you’re almost like a radar system for compliance issues and catch them before they even become a problem 100%.
Speaker 1: 3:23
And it’s not just risk management, Simone, it’s a value we offer our clients. If we’re helping someone keep their license, you better believe they expect their legal team to walk the talk. And in fact, as you know, that value was actually the catalyst for this Know your Regulator initiative. We just expanded our internal regulatory update process to provide license holders with those educational information about new and proposed changes, all the goings on within the regulatory agencies and basically encouraging professionals to be more proactive and engage with their regulatory agencies.
Speaker 2: 4:01
Yeah, absolutely All, really, really big pieces for license holders. You also play a bigsignatures to be secure and verifiable.
Speaker 1: 4:25
You want encrypted communications, but none of that works unless the team knows how to use it and trusts that it supports and not slows their work.
Speaker 2: 4:35
Absolutely. It sounds like it’s you know fine line. You’re bridging that gap between the tech stack and the ethical rules.
Speaker 1: 4:43
That’s what I do. I live at the intersection of operational efficiency and professional responsibility, or I like to think of it as Google Maps for firm operations, with alerts for potholes titled potential bar complaints for potholes, titled potential bar complaints.
Speaker 2: 5:06
Well, let’s shift gears a little bit.
Speaker 1: 5:08
What is a compliance related moment that sticks with you. Funny or maybe scary, oh okay. So when I was working at a firm before not this one, but I was working at a firm in my past and we had a new employee very well-meaning employee and she wanted to assist and, long story short, accidentally attached a full client file to an internal staff memo, so it was caught immediately. No harm was done, but it did trigger a whole review of our email safeguards at the time and that day I became a huge fan of encrypted attachments and two-step file approvals.
Speaker 2: 5:45
I can’t imagine, oh my gosh. So maybe not funny, but definitely memorable there.
Speaker 1: 5:51
Yeah, let’s just say that experience. Since then, my motto is trust but verify and use secured cloud storage.
Speaker 2: 5:59
Yeah Well, for someone who is stepping into the role of COO at a law firm, especially when dealing with, you know, licenses or regulatory heavy practice areas, what advice would you have for them?
Speaker 1: 6:14
That’s a great question, I guess. First, know the rules right. You don’t have to be a lawyer, but you do need to understand the ethical and regulatory framework that you’re working in. Second, build systems that make compliance second nature, not something people dread. And finally, you got to be approachable. If someone’s unsure about a policy, you want them to come to you before they send that file to the wrong person?
Speaker 2: 6:40
Absolutely no, I mean, that’s gold. I feel like your job is part strategist, part systems nerd, part firm conscience, right?
Speaker 1: 6:51
Yeah, right on, and I’ve got all the spreadsheets to prove it.
Speaker 2: 6:55
Well, sherry, this has been incredibly insightful. Thank you so much for breaking down the role of a COO in a way that’s smart, funny and, let’s be honest, kind of heroic.
Speaker 1: 7:06
Oh hey, thanks, Simone. Happy to help. And just remember, the best compliance strategy is one that no one notices because everything runs with extreme efficiency.
Speaker 2: 7:17
Amen and for our listeners. If you enjoyed this episode, be sure to subscribe, leave a review, share this with the COOs, managing partners and spreadsheet lovers in your life. Until next time, stay inspired and keep engaging with your regulatory agency.
Speaker 1: 7:34
Know your Regulator. The podcast that inspires you to engage.