Your Firm's Compliance Safety Net: The Evolving Role of Chief Operating Officer
04/30/25 • 7 min
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
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
Previous Episode
Inside Enforcement: A Candid Look at Investigations and Discipline at BHEC
Navigating the enforcement side of behavioral health licensing can feel like walking through a minefield, but it doesn't have to be that way. In this revealing conversation with Darrel Spinks, Executive Director of the Texas Behavioral Health Executive Council (BHEC), we pull back the curtain on what happens when complaints are filed against licensed professionals.
Spinks shares the newly revamped complaint process from initial screening through investigation, legal review, and potential hearings. With refreshing candor, he explains that frivolous complaints are dismissed without licensees ever knowing, while revealing that only about 50% of all complaints ultimately result in disciplinary action. This statistic alone should ease the anxiety many professionals feel about regulatory oversight.
The conversation takes a fascinating turn when Spinks identifies the top five violations that land practitioners in hot water: standard of care issues, sexual misconduct, dual relationships, failure to report, and unprofessional conduct. His practical advice for those under investigation—consult legal counsel, maintain proper documentation, and never ignore communications from regulators—provides a clear roadmap for professionals facing complaints.
Perhaps most valuable is Spinks' guidance on staying compliant. Beyond the expected "read your rules" recommendation, he highlights BHEC's impressive accessibility through monthly "Leadership Listening Hour" sessions and post-meeting webinars where the entire executive team makes themselves available to licensees. His unexpected caution against texting clients or connecting via social media—describing it as a "slippery slope greased with axle grease"—offers a stark warning about modern boundary challenges.
Whether you're a seasoned practitioner or new to the behavioral health field, this episode delivers practical insights to help you navigate regulatory requirements with confidence. Take advantage of the resources BHEC offers, establish clear communication boundaries, and remember that staying informed is your best defense against potential licensing issues. Ready to become more proactive about protecting your professional license? This conversation is your starting point.
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Visit the Texas Behavioral Health Executive Council website! -
https://bhec.texas.gov/
Get more information, details and resources on Know Your Regulator - https://www.belolaw.com/know-your-regulator
Know Your Regulator: The Podcast that Inspires You to Engage - Your Firm's Compliance Safety Net: The Evolving Role of Chief Operating Officer
Transcript
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 2Welcome back to Know your Regulator , the podcast that inspires you to engage . I am your host , simone Murphy . Today we're going b
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