Date of Conferral

7-28-2025

Degree

Doctor of Business Administration (D.B.A.)

School

Business Administration

Advisor

Michael Campo

Abstract

Unethical employee behavior in U.S. financial institutions continues to erode organizational trust and firms’ brand reputation. Leaders of financial institutions are concerned that unethical employee behavior can negatively impact firms’ profitability, competitiveness, and sustainability. Grounded in Kaptein’s corporate ethics virtue (CEV) model, the purpose of this qualitative pragmatic inquiry study was to explore how organizational ethical cultures influence employees’ behaviors. Data were collected through semistructured interviews with a sample of eight leaders in New York financial institutions, with a minimum of 5 years of successful experience in building a positive ethical environment, and by analyzing publicly available documents to support interview findings. Through thematic analysis, four themes emerged: implementation of comprehensive training, anonymous reporting systems that incorporate a whistle-blower program protected by law, rigorous compliance audits that leverage advanced technology, and leadership models’ ethics. A key recommendation is that leaders should shift training focus from basic rule memorization to realistic, interactive, scenario-based training that proactively addresses and manages ethical dilemmas. The implications for positive social change include the potential for leaders and employees to reduce unethical practices, thereby restoring stakeholder trust, enhancing institutional integrity, and benefiting the broader community through increased economic stability.

Download

Included in

Finance Commons

Share

 
COinS