albigeois
advisory services
Regulated Compliance & Operations
About
Harold Alby
I have spent twenty-five years in regulated asset and wealth management operations, across the Arabian Gulf, Southeast Asia, Europe and the United States.
Most of that has been operational rather than advisory: running the machinery of regulated firms rather than writing reports about it. Onboarding external asset managers with private banking counterparties. Setting up regulated entities from licence application to operational readiness. Building governance records that survive an inspection. Replacing portfolio platforms without losing the reporting. Handing licensed functions to successors in a way that leaves the firm stronger than I found it.
I also build the tooling. I write the document pipelines and reporting systems myself, because in firms of this size, the person who understands the regulatory requirement and the person who can automate it need to be the same person.
Albigeois Advisory Services
Albigeois Advisory Services is my practice, operating through Conseil Albigeois SARL in Bordeaux. I work with regulated managers across Switzerland, the United Kingdom, Cyprus and the Gulf.
Professional Profile
Professional Profile
Background
Twenty-five years running the operating side of regulated asset managers, multi-family offices and family offices, in Europe, the Gulf, Southeast Asia and the United States.
2021 - Present
Principal
Conseil Albigeois
Switzerland, United Kingdom, ADGM, Cyprus, Saudi Arabia
2018 - 2021
Chief Operating Officer
Inova Capital *
Zug
London
2016 - 2019
Chief Operating Officer
IAM Strategy Advisors *
London
2013 - 2016
President
Albigensian Consulting
New York, London
2006 - 2012
Managing Director
The BMB Group
Brunei
London
New York
2001 - 2006
Business Administrator
CoDEStorm & R.L. Rose
Portsmouth & Edinburgh
* IAM Strategy Advisors merged into Inova Capital in January 2019 which was acquired by the Signet group in 2021.
Education & languages
MA (Hons), University of Edinburgh, 2002 — Baroque & Renaissance Italian History, with French & German. English, mother tongue. French, fluent. German, professional in writing and conversational in speech. British national, resident in France.
Regulatory Regimes
Responsible for control functions
FINMA and FinIA, Switzerland
FCA, United Kingdom
FSRA, ADGM
CySEC, Cyprus
Investment adviser representative under the SEC and FINRA regime, New York & New Jersey
Licensing Led
FinIA licensing and supervisory-organisation affiliation, Switzerland FSRA licensing, ADGM
CMA licensing, Saudi Arabia
Cross-border
UCITS host-state notification into the United Kingdom, Switzerland and Cyprus, with the Central Bank of Ireland as home regulator. Country manuals and cross-border arrangements for multi-jurisdiction client books
Verification & references
FINRA BrokerCheck: individual 6140604.
Directorships and appointments on public record at UK Companies House, the Handelsregister of Zug and the Commercial Register of the ADGM.
References available on request, including from the audit side.