Enrique Ubarri is in the Financial Services practice of FTI Consulting where he specializes in corporate governance, mergers and acquisitions, regulatory compliance and litigation support. He brings over 20 years of financial services experience in commercial, consumer and mortgage banking, insurance, regulatory compliance and consulting to deliver valuable solutions to domestic and international financial institutions.
In Mr. Ubarri’s past experience, he was General Counsel for three NYSE-listed financial companies, managing various legal, financial, and operational challenges in the financial services industry in the U.S. and Latin America.
Mr. Ubarri served as General Counsel and Chief Compliance Officer in the turnaround of a holding company that was impacted by a restatement of its financial statements and several government investigations. In addition, he was responsible for the managing of several class action securities litigations alleging violations of federal securities laws and derivative actions. He was responsible for the managing and remediation of consent orders from regulators, including orders related to safety and soundness, consumer compliance and anti-money laundering matters. He also assisted with the identification of material weaknesses and completion of a restatement and advised on the modification of the footprint and operations of the branch network, loan originations, servicing, securitization and sales channels, and improved technology and back-office functions, re-engineering and consolidating processes, leveraging existing capacities and promulgating cost discipline.
Mr. Ubarri also served as General Counsel and advisor to the Board of Directors of an insurance company that is a Blue Cross/Blue Shield licensee, where he advised on commercial transactions and its initial public offering process. Prior to that, he served as the General Counsel and Chief Compliance Officer of the publicly traded financial holding company of the U.S. subsidiary of a major European bank. There he was responsible for all legal and compliance activities, which included banking operations, investment banking, insurance agency, mortgage banking, and multijurisdictional commercial lending in Europe, Latin America and the United States. In addition, he was responsible for the carve out of certain operations, disposition of real estate, management of regulatory and NYSE relationships, labor issues, and outsourcing of technology services.
Mr. Ubarri holds a B.A. from Boston University, a J.D. from the Interamerican University School of Law, an LL.M. in Financial and Securities Regulation for the Georgetown University, an LL.M. from the Morin Center for Banking and Financial Law at Boston University, an M.B.A. from Boston College and an LL.M. in Entertainment, Arts and Sports Law from the University of Miami School of Law.