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!

Get more information, details and resources on Know Your Regulator - https://www.belolaw.com/know-your-regulator

Episode Transcript

Speaker 1 (00:01):
This podcast is for educational purposes only, does
not constitute legal advice anddoes not create an
attorney-client relationship.
If you need legal assistanceabout a legal problem, contact
an attorney.

Speaker 2 (00:13):
Welcome back to Know your Regulator, the podcast that
inspires you to engage.
I am your host, simone Murphy.
Today we're going behind thescenes to meet the unsung hero
of your law firm's success theChief Operating Officer.
Some call them the chief ofgetting stuff done, others just
call them when the copier startsmaking strange noises.
But in truth, today's COO is astrategic partner, culture

(00:36):
builder and let's not forget,your compliance safety net.
Joining us is Sherry Meadowmass, the COO of Bertolino Law Firm
here in Austin, an ops pro whohelps our firm run smoothly,
stay compliant and still manageto have a little fun.
Welcome, sherry.

Speaker 1 (00:55):
Thanks, simone, excited to be here.
And yes, keeping thingscompliant is way more fun than
it sounds, I promise.

Speaker 2 (01:02):
Well, let's rewind a little bit.
What did the COO role look like, say, 15 years ago?

Speaker 1 (01:10):
15 years ago, all right, so think of it as like a
Swiss army knife.
In khakis, the COO used to bethe person that handled
facilities, budgets maybedabbled in HR, but mostly just
kept things from catching fire.

Speaker 2 (01:27):
Are we talking literal or metaphorical fires
here?

Speaker 1 (01:30):
Yes, but now the COO is a strategic architect.
We're involved in growthplanning, system design, firm
culture and one that's reallyevolved throughout the past
years.
Regulatory compliance.

Speaker 2 (01:47):
Yes, that not so glamorous but very, very
essential part huh.

Speaker 1 (01:53):
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 bemeasured.
That means making sure every Iis dotted, every privacy
safeguard is in place and everyupdate to professional ethics

(02:15):
rules is on our radar before ithits the news?

Speaker 2 (02:20):
Yeah, absolutely, I would say that's very essential.
With that being said, how doesregulatory compliance show up in
your day-to-day?

Speaker 1 (02:46):
auditable staff training on confidentiality and
ethics keeping records retentionpolicies compliant with bar
regulations.
Our firm has actuallyestablished an internal system
that tracks regulatory updatesfrom state bar and all state
licensing boards.
When a rule has been proposedor changes have been proposed or
there's a new rule that's beenadopted, we're reviewing our
internal processes and not justreacting, but proactively

(03:09):
aligning.

Speaker 2 (03:10):
Knowing your regulator is so important.
It sounds like you're almostlike a radar system for
compliance issues and catch thembefore they even become a
problem 100%.

Speaker 1 (03:23):
And it's not just risk management, Simone, it's a
value we offer our clients.
If we're helping someone keeptheir license, you better
believe they expect their legalteam to walk the talk.
And in fact, as you know, thatvalue was actually the catalyst
for this Know your Regulatorinitiative.
We just expanded our internalregulatory update process to

(03:45):
provide license holders withthose educational information
about new and proposed changes,all the goings on within the
regulatory agencies andbasically encouraging
professionals to be moreproactive and engage with their
regulatory agencies.

Speaker 2 (04:01):
Yeah, absolutely All, really, really big pieces for
license holders.
You also play a bigsignaturesto be secure and verifiable.

Speaker 1 (04:25):
You want encrypted communications, but none of that
works unless the team knows howto use it and trusts that it
supports and not slows theirwork.

Speaker 2 (04:35):
Absolutely.
It sounds like it's you knowfine line.
You're bridging that gapbetween the tech stack and the
ethical rules.

Speaker 1 (04:43):
That's what I do.
I live at the intersection ofoperational efficiency and
professional responsibility, orI like to think of it as Google
Maps for firm operations, withalerts for potholes titled
potential bar complaints forpotholes, titled potential bar

(05:05):
complaints.

Speaker 2 (05:06):
Well, let's shift gears a little bit.

Speaker 1 (05:08):
What is a compliance related moment that sticks with
you.
Funny or maybe scary, oh okay.
So when I was working at a firmbefore not this one, but I was
working at a firm in my past andwe had a new employee very
well-meaning employee and shewanted to assist and, long story
short, accidentally attached afull client file to an internal

(05:29):
staff memo, so it was caughtimmediately.
No harm was done, but it didtrigger a whole review of our
email safeguards at the time andthat day I became a huge fan of
encrypted attachments andtwo-step file approvals.

Speaker 2 (05:45):
I can't imagine, oh my gosh.
So maybe not funny, butdefinitely memorable there.

Speaker 1 (05:51):
Yeah, let's just say that experience.
Since then, my motto is trustbut verify and use secured cloud
storage.

Speaker 2 (05:59):
Yeah Well, for someone who is stepping into the
role of COO at a law firm,especially when dealing with,
you know, licenses or regulatoryheavy practice areas, what
advice would you have for them?

Speaker 1 (06:14):
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 regulatoryframework that you're working in
.
Second, build systems that makecompliance second nature, not
something people dread.
And finally, you got to beapproachable.
If someone's unsure about apolicy, you want them to come to

(06:35):
you before they send that fileto the wrong person?

Speaker 2 (06:40):
Absolutely no, I mean , that's gold.
I feel like your job is partstrategist, part systems nerd,
part firm conscience, right?

Speaker 1 (06:51):
Yeah, right on, and I've got all the spreadsheets to
prove it.

Speaker 2 (06:55):
Well, sherry, this has been incredibly insightful.
Thank you so much for breakingdown the role of a COO in a way
that's smart, funny and, let'sbe honest, kind of heroic.

Speaker 1 (07:06):
Oh hey, thanks, Simone.
Happy to help.
And just remember, the bestcompliance strategy is one that
no one notices becauseeverything runs with extreme
efficiency.

Speaker 2 (07:17):
Amen and for our listeners.
If you enjoyed this episode, besure to subscribe, leave a
review, share this with the COOs, managing partners and
spreadsheet lovers in your life.
Until next time, stay inspiredand keep engaging with your
regulatory agency.

Speaker 1 (07:34):
Know your Regulator.
The podcast that inspires youto engage.